Dawson James Securities Inc., a securities broker dealer headquartered in Boca Raton, Florida, has been censured and fined $500,000.00 by Financial Industry Regulatory Authority (FINRA) because the company and its CEO, Robert Dawson Keyser Jr., failed to preserve business-related text messages and failed to supervise certain representatives in connection with due diligence on private placements….
Robert Douglas Armstrong of Boca Raton, Florida, a stockbroker currently registered with Dawson James Securities Inc., is identified in a customer initiated investment related FINRA securities arbitration claim which was resolved for $123,000.00 in damages founded on accusations of unsuitable investment recommendations by Armstrong concerning limited partnership interests or direct participation program interests while Armstrong…
Steven Paul Colacurcio (also known as Steve Colacurcio) of Boca Raton Florida a stockbroker formerly registered with Dawson James Securities Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $35,000.00 in damages supported by allegations that they were not made aware by Colacurcio of the fees…
Robert Douglas Armstrong (also known as R. Douglas Armstrong) of Boca Raton Florida a stockbroker formerly registered with Dawson James Securities Inc. is the subject of a customer initiated investment related written complaint on May 12, 2021 where the customer sought $2,000,000.00 in damages based on accusations of Armstrong’s failure to sell the customer’s penny…
Marc Scott Steinberg of Boca Raton Florida a stockbroker formerly registered with Dawson James Securities has been referenced in a customer initiated investment related arbitration claim which was settled for $18,000.00 in damages based upon allegations that investment recommendations were not suitable and that the customer sustained losses on stock transactions executed by Steinberg at…
Dominic Joseph Linsalata Jr. of Boca Raton Florida a stockbroker currently registered with Dawson James Securities is the subject of a customer initiated investment related arbitration claim where the customer requested $670,237.00 in damages founded on allegations of elder abuse and breach of contract by Linsalata when Linsalata was associated with Dawson James Securities. Financial…
Willard Louis Pugh of Boca Raton Florida a stockbroker formerly employed by Dawson James Securities is the subject of a customer initiated investment related arbitration claim where the customer requested $155,000.00 in damages based upon accusations that the customer was provided with bad investment advice from Pugh as it concerned the customer’s investments in United…
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 arbitration claim which was resolved for $10,000.00 in damages based upon accusations of misrepresentations concerning stock purchased for the customer’s account during the time that Ruggiere was associated with Dawson…
Kevin Lawrence Barbalace of Middletown New Jersey a stockbroker associated with Dawson James Securities is the subject of a customer initiated investment related arbitration claim in which the customer requested $100,000.00 in damages based upon allegations that investment recommendations were not suitable and that misrepresentations and omissions had been made about direct participation program interests…
Robert Douglas Armstrong of Boca Raton Florida a stockbroker registered with Dawson James Securities Inc. is the subject of a customer initiated investment related arbitration claim which was resolved for $96,000.00 in damages based upon accusations that (1) promissory statements and misrepresentations were made to the customer by Armstrong regarding direct participation programs and limited…
Danilo Dereck Fuentes of Dayton Maryland a stockbroker employed by Dawson James Securities Inc. has been identified in a customer initiated investment related arbitration claim where the customer sought $1,377,280.02 in damages founded on accusations that (1) transactions were effected by Fuentes without authorization and without Dawson James’ supervision (2) misrepresentations had been made to…
Peter George Ruggiere of Boca Raton Florida a stockbroker currently registered with Dawson James Securities Inc. is referenced in a customer initiated investment related arbitration claim in which the customer requested $80,013.13 in damages supported by accusations that (1) excessive stock trades were effected in the customer’s account (2) risks or other details of Ruggiere’s…
Marc Scott Steinberg of Boca Raton Florida a stockbroker registered with Dawson James Securities Inc. is the subject of a customer initiated investment related complaint on April 26, 2018 in which the customer requested $39,796.42 in damages supported by accusations that stock trades effected in the customer’s account failed to be suitable for the customer….
Dominic Joseph Linsalata Jr. of Boca Raton Florida a stockbroker formerly registered with Dawson James Securities Inc. is referenced in a customer initiated investment related arbitration claim in which the customer sought $80,013.13 in damages supported by accusations that (1) misrepresentations had been made to the customer concerning equity investments and (2) excessive equity trades…
Marc Neil Kalter of New York New York a stockbroker formerly registered with Dawson James Securities Inc. has been discharged by the firm on July 20, 2018 based upon allegations that (1) Kalter solicited investment transactions from investors residing in states in which Kalter was not registered as a securities person and (2) Kalter utilized…
Michael Victor Mortensen of Dawson James Securities Inc. is the subject of a customer initiated investment related written complaint on August 5, 2017 in which the customer requested $7,029.00 in damages supported by allegations that an unauthorized stock purchase was executed in the customer’s account. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Mortensen…
Kevin Lawrence Barbalace of Columbia Maryland is a stockbroker formerly registered with Dawson James Securities Inc. who is the subject of a customer initiated investment related written complaint on August 30, 2017 where the customer sought $4,952,610.00 in damages supported by accusations that Barbalace made misrepresentations to the customer and placed unsuitable private placement, promissory…
Robert Douglas Armstrong of Boca Raton is a stockbroker currently associated with Dawson James Securities who is the subject of a customer initiated investment related written complaint on January 16 2017 where the customer sought one hundred thousand dollars in damages founded on allegations that he made misleading and false assurances in regard to the…
Robert Douglas Armstrong of Boca Raton Florida is a stockbroker currently registered with Dawson James Securities Inc. who is the subject of a customer initiated investment related written complaint filed on January 16 2017 in which the customer requested one hundred thousand dollars in damages based upon allegations that misleading assurances and false representations were…
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…
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…
Mack Leon Miller, of New York, New York, a stockbroker registered with Dawson James Securities, Inc., was terminated from employment on April 20, 2017, based upon allegations that he solicited investments from customers in states that he was not licensed. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Miller has been named in three…
Kennister Ulesley Daley, of Boca Raton, Florida, a stockbroker formerly registered with Dawson James Securities, Inc., has been named in a customer initiated investment related written complaint on January 5, 2017, in which the customer requested $65,000.00 in damages based upon allegations that Daley, from April of 2015 to February of 2016, traded options excessively…
Kevin L. Barbalace, of Columbia, Maryland, a stockbroker formerly associated with Dawson James Securities, Inc., has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that Barbalace made unsuitable recommendations to a firm customer. Letter of Acceptance, Waiver and…
A customer initiated an investment related arbitration claim involving the conduct of Pranav Patel, of Boca Raton, Florida, a stockbroker formerly associated with Dawson James Securities, Inc. Customers collectively requested $62,855.00 in damages based upon allegations that Patel sold securities in ForceField Energy Inc. to them outside the auspices of his firm. The customers alleged that…
Carlo W. Corzine, of Boca Raton, Florida, a stockbroker with Dawson James Securities, Inc., has been named in a customer initiated investment related arbitration claim on June 22, 2016, in which the customer requested $60,000.00 in damages based upon allegations against Corzine of effecting unauthorized trades in the customer’s account, breaching his fiduciary duty, making…
James R. Bernthal, of New York, New York, a stockbroker with Dawson James Securities, has been named in pending customer initiated investment related claim filed on March 28, 2016 seeking $137,000.00 in damages based upon allegation that Bernthal effected unsuitable transactions in customer accounts and that Dawson James failed to supervise Bernthal. FINRA Public Disclosure…
Patrick H. Maddren, of Boca Raton, Florida, a stockbroker formerly associated with Dawson James Securities, Inc., became subject to a pending customer dispute from March 31, 2016, in which the customer has requested $1,000,000.00 in damages after alleging that Maddren made misrepresentations concerning investments to the customer, did not follow the customer’s instructions, engaged in…
Sean W. Mollard, of Boca Raton, Florida, a stockbroker for Dawson James Securities, Inc., became subject to a pending customer dispute from March 31, 2016, in which a customer requested $1,000,000.00 in damages after alleging that Mollard made material misrepresentations regarding investments, charged excessive commissions to the customer, engaged in excessive trading, failed to abide…
Steven Paul Colacurcio, of Boynton Beach, Florida, a stockbroker with Dawson James Securities, Inc., was fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he engaged in the unauthorized discretionary trading of customer accounts. Letter of Acceptance, Waiver and Consent, No. 2014043592102…
Peyton Nelson Jackson, of New York, New York, was fined $20,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member firm after consenting to findings that he engaged in unauthorized outside business activities. Letter of Acceptance, Waiver and Consent, No. 2012032095801 (Apr. 28, 2016). According to the AWC, FINRA launched…
Aldo Comuzzi, a registered representative with Dawson James Securities Inc., was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he failed to cooperate with a FINRA investigation in connection with allegations that Comuzzi improperly utilized discretion without written approval in certain of…