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Duncan-Williams, Inc.


Duncan-Williams, Inc. is a member of NASD, the National Association of Securities Dealers. NASD is a self-regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.
 
Duncan-Williams, Inc. is a regional investment-banking firm headquartered in Memphis, Tennessee, with branch offices in Mississippi, Texas, and North Carolina. Founded in 1969 as a municipal bond dealer, the Company has expanded in sales,  finance and underwriting of all fixed income securities to the general public and financial institutions. 

Led by its President, Duncan F. Williams, son of its founder, the Company has upgraded its infrastructure and added experienced personnel while maintaining its roots as a private, family owned business. The Company operates under provisions of the Securities and Exchange Act of 1934 and is a member of the National Association of Securities Dealers Inc, the Municipal Securities Rulemaking Board and the Securities Investor Protection Corporation.

The highlight was a particularly damning report filed by a court-appointed special master, the NASD panel found in favor of Duncan-Williams and awarded the family-owned firm damages totaling more than $6 million, including $2.5 million in compensatory damages against both Coastal and Michael McGinnis, Duncan-Williams's former head of public finance, and $2 million in punitive damages assessed to Coastal alone.

Duncan-Williams, Inc. serves the specialized requirements of institutional investors, money managers, and other broker dealers. They've earned their reputation in fixed income products and services by creating value for clients through outstanding customer service, expert transactions, and active management know-how.

Together, their principals have more than 100 years of practice in the government agency, municipal, corporate, and treasury markets. For the reason that they have navigated their way through the ups and downs of economic cycles, they can help clients chart a course that focuses on their goals and manages their level of risk. They are product neutral, priding themselves on their independence from any proprietary inventory. So they are free to select among the entire array of market offerings to meet the exact needs of their clients.

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