NOTE: Stipulations of Fact and Consent to Penalty (SFC); Offers of Settlement (OS); and Letters of Acceptance Waiver, and Consent (AWC) are entered into by Respondents without admitting or denying the allegations, but consent is given to the described sanctions & to the entry of findings. Additionally, for AWCs, if FINRA has reason to believe a violation has occurred and the member or associated person does not dispute the violation, FINRA may prepare and request that the member or associated person execute a letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive such member's or associated person's right to a hearing before a hearing panel, and any right of appeal to the National Adjudicatory Council, the SEC, and the courts, or to otherwise challenge the validity of the letter, if the letter is accepted. The letter shall describe the act or practice engaged in or omitted, the rule, regulation, or statutory provision violated, and the sanction or sanctions to be imposed.

James Christopher Dinwoodie
AWC/2008014001701

While associated with a member firmin Texas, Dinwoodie sold Financial Advisory Service Agreements to customers located in Arkansas prior to his registration status in Arkansas being updated in his member firm’s system, and altered the Agreements to falsely reflect that the customers signed the agreements while located in Texas. Dinwoodie falsified other customers’ signatures on a Financial Advisory Service Agreement. Dinwoodie failed to respond to FINRA requests for an on-the-record sworn statement. 

James Christopher Dinwoodie: Barred