David Hershel Weinstein of Boca Raton, Florida, a stockbroker currently registered with Dawson James Securities, Inc., is the subject of a customer initiated investment related arbitration claim, in which the customer requested $325,000.00 in damages based upon accusations that Weinstein over-concentrated the customer’s assets, and made unsuitable investment recommendations to the customer pertaining to over-the-counter equities and direct investment products. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-02569 (Sept. 27, 2017).
FINRA Public Disclosure confirms that a customer initiated investment related arbitration claim involving Weinstein’s conduct was settled for $32,500.00 in damages founded on allegations that Weinstein conducted himself in an unethical and unfair manner to induce a customer’s ongoing investment in a direct investment program. FINRA Arbitration No. 11-00545 (Mar. 13, 2012).
Weinstein has been associated with seven different broker dealers, one of which has been expelled by securities regulators for violation of federal securities laws or is otherwise defunct.
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