Dawson James Securities problem Archives

Rex Securities Law
January 9, 2018
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Robert Armstrong- Dawson James Securities Broker-Discloses Customer Suits Alleging Unsuitable Investments-Boca Raton, FL

Robert Armstrong- Dawson James Securities Broker-Discloses Customer Suits Alleging Unsuitable Investments-Boca Raton, FL http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 9, 2018 April 24, 2018

April 2018 – Boca Raton, FL Robert D. Armstrong Phd. (aka Dr. Armstrong) , a stockbroker currently employed by Dawson James Securities discloses 3 pending customer disputes on his publicly available…

Rex Securities Law
May 9, 2017
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Dominic J. Linsalata-Newbridge Securities Broker-Discloses Settlement of Customer Dispute-Boca Raton, FL

Dominic J. Linsalata-Newbridge Securities Broker-Discloses Settlement of Customer Dispute-Boca Raton, FL http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 9, 2017 May 9, 2017

May 2017-Boca Raton, FL The FINRA records of Dominic J. Linsalata Jr. , a stockbroker who is currently registered with Newbridge Securities disclose a customer dispute that was settled. The Financial Industry Regulatory Authority…

Rex Securities Law
November 2, 2016
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Peyton Jackson-Former Alexander Capital Broker-Discloses Customer Disputes Alleging Churning

Peyton Jackson-Former Alexander Capital Broker-Discloses Customer Disputes Alleging Churning http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 2, 2016 November 2, 2016

November 2016-Arlington, Texas The FINRA records of Peyton N. Jackson, a stockbroker who is not currently registered and who was last employed by Alexander Capital, LP. disclose a recent regulatory matter that is final, 7…

Rex Securities Law
May 15, 2016
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Pranav Patel-Former Dawson James Broker-Indicted for Securities Fraud-Boca Raton

Pranav Patel-Former Dawson James Broker-Indicted for Securities Fraud-Boca Raton http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 15, 2016 July 11, 2016

UPDATE June 2016–Pranav Patel named in civil action seeking damages related to sale of ForceField Energy, Inc. Follow this link for more information. May 2016-Boca Raton, FL The Financial Industry Regulatory…

Rex Securities Law
May 10, 2016
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Luis Marquez-Former Dawson James Broker-Named In Customer Arbitration-Ft. Lauderdale

Luis Marquez-Former Dawson James Broker-Named In Customer Arbitration-Ft. Lauderdale http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 10, 2016 May 10, 2016

May 2016- Ft. Lauderdale, FL The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints…

Rex Securities Law
March 30, 2016
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James Hopkins, Dawson James Securities Broker, Named in Customer Dispute

James Hopkins, Dawson James Securities Broker, Named in Customer Dispute http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 30, 2016 April 19, 2016

James C. Hopkins, a Boca Raton, FL, stockbroker registered with Dawson James Securities, is named in a customer dispute alleging that he made misrepresentations in connection with an investment banking offering…

Rex Securities Law
March 30, 2016
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Aldo Comuzzi Investigation-Dawson James Securities-Boca Raton,FL

Aldo Comuzzi Investigation-Dawson James Securities-Boca Raton,FL http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 30, 2016 May 4, 2016

Aldo Comuzzi, a stockbroker who formerly worked for Dawson James Securities in Boca Raton, FL, was named in FINRA Arbitration 15-01203, alleging that Comuzzi traded the customer’s account without permission.…

Rex Securities Law
March 30, 2016
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Carlo W. Corzine Settles Customer Complaint- Tactical Air Defense Inc.

Carlo W. Corzine Settles Customer Complaint- Tactical Air Defense Inc. http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 30, 2016 May 5, 2016

March 27, 2016 FINRA records report that Carlo W. Corzine, who is currently registered with Dawson James Securities in Boca Raton, FL, recently settled a customer dispute. The complaint alleged…

Rex Securities Law
November 19, 2015
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Aldo Comuzzi-Dawson James Securities Broker – Sanctioned by Securities Regulators

Aldo Comuzzi-Dawson James Securities Broker – Sanctioned by Securities Regulators http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 19, 2015 May 4, 2016

UPDATE–Comuzzi named in customer arbitration alleging unauthorized trading. Case settled for $65,000. See this for more. September 15, 2015- Boca Raton, FL Aldo Comuzzi , entered into a Letter of Acceptance Waiver…