Tag Archives: Dawson James Securities

Customer Sues Dawson James For Equities Suitability

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 […]

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Dawson James Sued By Customer For Misconduct

December 15, 2017  |   Posted by :   |   Churning, Investment and Regulatory News   |   0 Comments

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 […]

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Dawson James Securities Stockbroker Suspended For Unsuitable Recommendations

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 […]

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Dawson James Stockbroker Named In Customer Arbitration Claim

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 […]

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