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Dawson James Securities, Inc.

Background Information

Dawson James Securities markets itself as a full service investment firm specializing in complex healthcare, biotechnology, technology, and clean-tech sectors. Located in Boca Raton, Florida, the firm has been in operation since 2002.

Regulatory Violations

Dawson James has been the subject of several regulatory investigations, some which resulted in disciplinary actions by regulators. The firm has also been the subject of several customer FINRA arbitration claims.

Written Supervisory Procedures Failed to Provide for Minimum Requirements

FINRA censured and fined $75,000 Dawson James in April, 2014 for failing to provide adequate supervisory procedures. Resulting from a review by FINRA, FINRA found that during the review period the firm failed to investigate numerous “red flags” relating to the activities of one registered representative. They also failed to enforce its written supervisory procedures which specified that all electronic correspondence is reviewed on a daily basis.

Dawson James Sanctioned for Commission Recapture Arrangement in Violation of Rules

In Oct, 2011, Dawson James was sanctioned and fined $90,000 by FINRA for failing to maintain minimum net capital required due to a commission recapture arrangement, which FINRA alleged improper and obscured. They also filed inaccurate Focus Reports and its books and records were inaccurate.

Additional Dawson James News

Broker Aldo Comuzzi Terminated for taking discretion in client’s account

Silver Law Group

Silver Law Group is a nationally recognized securities and investment fraud law firm with Martindale-Hubbell® Peer Review Ratings™ “AV” rated lawyers that handle all securities arbitration matters on a contingency fee basis. The Law Firm, at no cost to investors will review account activity and account statements to determine whether there was any misconduct, whether there are damages and the legal causes of action. We investigate all sales practice violations, while taking into consideration the investor’s age, investment background, and the relationship between the investor and the brokerage firm and its financial advisor. According to securities industry rules and regulations, unsuitable investment advice, securities concentration, fraudulent misrepresentations and omissions of material facts, breach of fiduciary duty, conflicts of interest, variable annuity switching are among the causes of action that may be available to investors in claims for damages against brokerage firms and their financial advisors in a securities arbitration claim filed with the Financial Industry Regulatory Authority (FINRA). We represent investors in FINRA arbitration claims on a contingency fee basis.

To learn more call us at (954) 755-4799 or Toll Free at (800) 975-4345

Client Reviews
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