Tag Archives: Dawson James Securities Inc.

Investors File Complaint Against Dawson James Securities

August 15, 2021  |   Posted by :   |   Boilerroom Sales, FINRA Securities Arbitration, Investment and Regulatory News, Microcap and Penny Stock Fraud   |   Comments Off on Investors File Complaint Against Dawson James Securities

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 […]

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Investors File FINRA Securities Arbitration Claim Against Dawson James For Breach Of Fiduciary Duty

March 08, 2021  |   Posted by :   |   Investment and Regulatory News   |   Comments Off on Investors File FINRA Securities Arbitration Claim Against Dawson James For Breach Of Fiduciary Duty

Paul Robert DiPietro of Boca Raton Florida a stockbroker formerly registered with Dawson James Securities Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $100,000.00 in damages based upon accusations of a breach of contract and breach of fiduciary duty by the stockbroker during the period […]

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Investors Bring FINRA Arbitration Claim Against Dawson James

November 30, 2020  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on Investors Bring FINRA Arbitration Claim Against Dawson James

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 […]

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Investors Bring FINRA Arbitration Claim Against Dawson James For Breach Of Fiduciary Duty

November 04, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Elder Financial Abuse, Securities Arbitration Claims   |   Comments Off on Investors Bring FINRA Arbitration Claim Against Dawson James For Breach Of Fiduciary Duty

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 […]

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Dawson James Sued By Investors For UDF Fraud

September 30, 2020  |   Posted by :   |   Non-traded REITs, Securities Arbitration Claims, Securities Fraud, Unsuitable Investment Recommendations   |   Comments Off on Dawson James Sued By Investors For UDF Fraud

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 […]

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Dawson James Sued For Breach Of Fiduciary Duty

July 11, 2020  |   Posted by :   |   Boilerroom Sales, Churning, Securities Arbitration Claims   |   Comments Off on Dawson James Sued For Breach Of Fiduciary Duty

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 […]

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Dawson James Securities Sued By Investors For Fraud

May 13, 2020  |   Posted by :   |   Boilerroom Sales, Direct Participation Programs, Securities Arbitration Claims, Securities Fraud, Unsuitable Investment Recommendations   |   Comments Off on Dawson James Securities Sued By Investors For Fraud

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 […]

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Investors Sue Dawson James For Fraud

April 08, 2020  |   Posted by :   |   Direct Participation Programs, Securities Arbitration Claims, Securities Fraud, Unsuitable Investment Recommendations   |   Comments Off on Investors Sue Dawson James For Fraud

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 […]

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Investors Sue Dawson James For Unauthorized Trading

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 […]

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Dawson James Securities Sued For Stockbroker Misconduct

Paul Robert DiPietro of Boca Raton Florida a stockbroker formerly employed by Dawson James Securities Inc. is referenced in a customer initiated investment related arbitration claim in which the customer sought $68,926.88 in damages founded on allegations of the customer being provided unsuitable investment advice by DiPietro as it pertained to over-the-counter equities held in […]

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Investors Sue Dawson James For Excessive Trading

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 […]

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Dawson James Accused By More Investors Of Misconduct

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. […]

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Dawson James Sued By Investors For Churning

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 […]

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Dawson James Broker Fired For Unregistered Activities

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 […]

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Dawson James Securities Accused Of Unauthorized Trading

June 21, 2018  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

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 […]

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Dawson James Accused By Customer Of Misrepresentation

March 16, 2018  |   Posted by :   |   Investment and Regulatory News, Private Placement Fraud   |   0 Comments

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 […]

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Dawson James Securities Accused Of Misleading Customer

March 07, 2018  |   Posted by :   |   Investment and Regulatory News, Promissory Notes   |   0 Comments

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 […]

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Customer Accuses Dawson James Of Misrepresentation

February 20, 2018  |   Posted by :   |   Investment and Regulatory News, Promissory Notes   |   0 Comments

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 […]

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Dawson James Securities Stockbroker Fired

June 19, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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 […]

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Dawson James Sued For Unsuitable Trading

February 27, 2017  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News   |   0 Comments

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 […]

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Dawson James Securities Named in Selling Away Case

November 18, 2016  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News   |   0 Comments

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 […]

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Customer Claims Mount Against Dawson James Securities

October 15, 2016  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

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 […]

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Dawson James Securities Named In Customer Arbitration For Misrepresentation

October 11, 2016  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

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 […]

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Customers Sue Dawson James Securities Stockbroker For $1 Million Fraud

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 […]

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Dawson James Stockbroker Suspended For Unauthorized Trading

August 25, 2016  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

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 […]

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Alexander Capital Stockbroker Suspended For Outside Business Activities

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 […]

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Dawson James Securities Broker Barred for Obstructing Investigation

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 […]

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