Peter George Ruggiere, of Boca Raton, Florida, a stockbroker currently registered with Dawson James Securities, Inc., is the subject of a customer initiated investment related written complaint on November 7, 2017, in which the customer sought $34,869.00 in damages based upon allegations that between May of 2016 and November of 2017, misrepresentations had been made to the customer regarding the customer’s equity investments.
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Ruggiere has been identified in three more customer initiated investment related disputes containing accusations of Ruggiere’s misconduct while employed with Newbridge Securities and Josephthal & Co., Inc. Specifically, a customer was awarded $6,403.00 in damages according to an investment related arbitration claim in reference to Ruggiere’s violative conduct, supported by findings that Ruggiere effected unsuitable transactions in the customer’s account, made misrepresentations to the customer, and effected unauthorized options trades. National Association of Securities Dealers Case No. 94-03448 (Oct. 24, 1996).
Thereafter, on February 24, 2003, a customer filed an investment related written complaint involving Ruggiere’s conduct, where the customer requested $75,000.00 in damages founded on allegations that the customer’s stock portfolio had been churned. On May 23, 2005, another customer filed an investment related written complaint regarding Ruggiere’s activities, in which the customer sought $98,785.00 in damages based upon accusations of unauthorized margin use and unsuitable mutual fund transactions having been placed in the customer’s account.
Since June 26, 1992, Ruggiere has been associated with five 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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