{"id":3018,"date":"2015-05-29T00:00:00","date_gmt":"2015-05-29T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/silver-law-group-files-securities-arbitration-case-against-dawson-james\/"},"modified":"2018-10-08T12:40:16","modified_gmt":"2018-10-08T16:40:16","slug":"silver-law-group-files-securities-arbitration-case-against-dawson-james","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/silver-law-group-files-securities-arbitration-case-against-dawson-james\/","title":{"rendered":"Silver Law Group Files Securities Arbitration Case Against Dawson James"},"content":{"rendered":"

The Silver Law Group has filed a securities arbitration<\/a> claim before the Financial Industry Regulatory Authority (\u201cFINRA\u201d) on behalf of a family and a family business from South America alleging, among other things, that Dawson James failed to properly supervise one of its registered representatives, permitted an unsuitable investment strategy<\/a> to be utilized and permitted the family\u2019s investment accounts to be excessively traded for the purposes of generating huge commissions for itself and its registered representatives while wiping out most of their customers\u2019 investment capital in a very short period of time.<\/p>\n

Excessive trading or \u201cchurning,\u201d<\/a> as it is known in the industry, is the act of a broker who excessively and needlessly engages in trading in a client\u2019s account primarily to generate commissions for the broker on each trade without regard for the client\u2019s financial well-being.\u00a0 Churning is an illegal and unethical practice that violates SEC rules and securities laws.<\/p>\n

Dawson James Securities<\/a> markets itself as a full service investment firm specializing in complex healthcare, biotechnology, technology, and clean-tech sectors.\u00a0 Headquartered in Boca Raton, Florida, the firm has been in operation since 2002.\u00a0 Dawson James has been the subject of several regulatory investigations, some which resulted in disciplinary actions by regulators.\u00a0 For example, FINRA recently censured and fined Dawson James $75,000 for failing to provide adequate supervisory procedures.\u00a0 FINRA found that during the review period the firm failed to investigate numerous \u201cred flags\u201d relating to the activities of one registered representative.\u00a0 Dawson James also failed to enforce its written supervisory procedures which specified that all electronic correspondence is reviewed on a daily basis.\u00a0 The firm has also been the subject of several customer FINRA arbitration claims.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

The Silver Law Group has filed a securities arbitration claim before the Financial Industry Regulatory Authority (\u201cFINRA\u201d) on behalf of a family and a family business from South America alleging, among other things, that Dawson James failed to properly supervise one of its registered representatives, permitted an unsuitable investment strategy to be utilized and permitted […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[589,607,588],"tags":[301,499,131,290],"class_list":["post-3018","post","type-post","status-publish","format-standard","hentry","category-churning-2","category-failure-to-supervise","category-finra-arbitration","tag-churning","tag-failure-to-supervise-2","tag-finra-arbitration-2","tag-securities-arbitration"],"yoast_head":"\nSilver Law Group Files Securities Arbitration Against Dawson James<\/title>\n<meta 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