Category Archives: aurora capital

Robert Armstrong- Dawson James Securities Broker-Discloses Customer Suits Alleging Unsuitable Investments-Boca Raton, FL

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 FINRA record.

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 and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In February 2018 a Dawson James Securities customer filed FINRA Case 18-0502 alleging that Armstrong made misrepresentations, promissory statements and unsuitable investment recommendations and is seeking damages of $230,000.

In March 2018 a customer of Dawson James Securities  filed FINRA Case #18-0944 alleging false and misleading assurances and unsuitable recommendations and is seeking damages of $444,000.

In April 2018 a customer of Dawson James Securities filed FINRA Case #18-01176 alleging that Dr. Armstrong made misrepresentations and promissory statements in regard to a private placement that was not suitable and is seeking damages of $900,000.

Armstrong has been employed by Dawson James Securities  since 8/2012.  His previous employers include Westpark Capital Aurora Capital and Tyratech, Inc.

Armstrong discloses business affiliations with Auxol Capital, Royal Palm Investors, Ark Financial Services and  Helomics.

If you have questions about an account handled by Robert Armstrong, contact us for a no charge consultation to discuss your legal options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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