John Boyd Dexter (CRD #1354376, Registered Principal, North Miami, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. See FINRA Case #2011030204601. From June 2006 through July 2012, Dexter was associated with Murphy & Durieu of Fort Lauderdale, Florida.
Without admitting or denying the findings, Dexter consented to the described sanction and to the entry of findings that he failed to appear for testimony as FINRA requested in connection with an investigation that FINRA had initiated concerning alleged suspicious activity at a member firm’s branch, where Dexter was employed as branch office manager. The findings stated that in a telephone conversation with FINRA, Dexter stated that he would not provide testimony or cooperate with the investigation because he was no longer employed in the securities industry.
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