Category Archives: Dawson James Securities

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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Mack L. Miller-Former Dawson James Securities Broker-Discloses Separation from Employment-NY

May 2017-New York

The FINRA records of  Mack L. Miller  ,  a  stockbroker who is currently  registered with Spartan Capital Securities  disclose two  prior customer disputes, a separation from employment and 2 currently outstanding judgment/liens .

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 April 2017 Mack Miller was ‘permitted to resign’ from Dawson James Securities. The company made the following allegation on Miller’s FINRA record: “Rep had called a prospective customer in a state where he was not registered”. 

Mack Miller  has been employed by Spartan Capital Securities  since 4/2017. He was employed by Dawson James Securities  from 5/2016-4/2017 , Lampert Capital Markets from 11/2015-5/2016 and Viewtrade Securities 8/2015-11/2015.

If you have questions about an account  handled by Mack L. Miller  , contact us to discuss your 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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Dominic J. Linsalata-Newbridge Securities Broker-Discloses Settlement of Customer Dispute-Boca Raton, FL

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 (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 FINRA arbitration #15-02669 a customer of Dawson James Securities alleged damages of $340,000 for unsuitable recommendations. That case was settled for $175,000 in 3/2017.

Linsalata has been employed by Newbridge Securities  since 7/2016. He was with Dawson James from 10/2102-8/2016 and with Chelsea Financial Services from 1/2012-7/2012.

If you have questions about an account  handled by Michael J. Romanelli  , contact us to discuss your 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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Gary Edward Morse-Former Celadon Financial Group Broker-Discloses Tax Liens-Boca Raton, FL

MARCH 2018 UPDATEGary E. Morse left Celadon Financial Group 8/2017 and is currently registered with Precision Securities. His FINRA records disclose  currently  outstanding liens owed to the Internal Revenue Service which total more than $2.5 million.

April 2017- Boca Raton, FL

According to publicly available records Gary Edward Morse  , (CRD# 1793348) ,  a  stockbroker who is currently registered with Celadon Financial Group  discloses a pending   financial event and an outstanding judgment/lien.

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.

Morse discloses the filing of a chapter 7 bankruptcy in June 2016 in the U.S. Bankruptcy Court for the Southern District of Florida.

Morse also discloses an outstanding lien in the amount of $186,760 in favor or the Internal Revenue Service.

Gary Morse’s prior employment includes Livingston Monroe Capital GroupAegis Capital Corp. and Dawson James Securities.

Celadon Financial Group has been a FINRA member since 1994 and is headquartered in Chatham, New Jersey. They have locations in New York City, Washingtonville, New York, Boca Raton, FL, Pompano Beach, FL and Shrewsbury, New Jersey. 

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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870