Patrick Henry Maddren, of Boca Raton, Florida, a stockbroker formerly registered with Dawson James Securities, Inc., is the subject of a customer initiated investment related arbitration claim, which settled for $295,000.00 in damages founded on accusations of breach of contract, unsuitable investment recommendations, unauthorized trading, excessive commissions, excessive trading, omissions and misrepresentations, and failure to follow the customer’s instructions. Financial Industry Regulatory Authority (FINRA) Arbitration No. 16-00849 (Nov. 13, 2017).
FINRA Public Disclosure also reveals that on May 23, 2013, a customer filed an investment related written complaint involving Maddren’s conduct, where the customer requested $62,530.00 in damages based upon allegations that Maddren effected unauthorized equity trades in the customer’s account.
Maddren’s registration with Dawson James Securities, Inc. ended on August 28, 2012. Since April 14, 2004, Maddren has been associated with seven different broker dealers, two of whom are defunct or have otherwise been expelled by securities regulators for violation of federal securities laws.
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