Charles Dorraine Barred For Refusing To Testify About Puerto Rico Bonds
Broker Charles Dorraine (CRD# 70411) has been barred by FINRA (the Financial Industry Regulatory Authority) for refusing to give testimony about recommendations to customers about Puerto Rican bonds. It has been alleged that the bonds were unsuitable and customers were overconcentrated in them. Dorraine was last registered with Next Financial Group, Inc. (CRD# 46214) in their Corpus Christi, Texas branch location from 2007-2019. Continue reading ›