Investment fraud attorneys at Gana Weinstein LLP have been investigating Dawson James Securities, Inc. (Dawson James Securities) broker Thomas Curtis (Curtis). According to BrokerCheck Records, Curtis has been subject to 6 customer disputes, one of which is still pending. The majority of these disputes involve unsuitable investment recommendations and the…
Articles Posted in Dawson James Securities
Patrick Maddren Subject to Customer Complaint For Excessive Trading
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Patrick Maddren (Maddren) has been subject to two customer complaints and two tax liens. Maddren is currently registered with WestPark Capital, Inc. (WestPark Capital). In March 2016 a customer filed a complaint alleging a number of securities…
Department of Justice Alleges that Corrupt Brokers Richard Brown, Gerry Cocuzzo, Nick Khan, Maroof Miyana, and Pranav Patel Were Involved in A $131 Million Stock Promotion Scheme Involving ForceField Energy
In May 2016 the Department of Justice (DOJ) filed a five-count indictment in New York against nine defendants including Jared Mitchell, the Managing Partner of Mitchell & Sullivan Capital LLC; Richard Brown, a registered broker with Chelsea Financial Services; Christopher Castaldo, the Chief Executive Officer of Stock Traders Press Inc.…
FINRA Sanctions Broker Peyton Jackson Over Outside Business Activities
The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Peyton Jackson (Jackson). According to BrokerCheck records Jackson has been subject to at least eleven customer complaints. The customer complaints against Jackson allege securities law violations that including unsuitable…
Investigation: Dawson James Securities’ Great Basin Scientific Stock Underwriting
In a memo available online, Dawson James Securities, Inc. (Dawson James) stated that it acted as the sole underwriter for a February 25, 2015 offering for Great Basin Scientific, Inc. (Great Basin) (stock symbol: GBSN). Great Basin is a molecular diagnostics company that commercializes technologies that improve ease-of-use and delivers…
Dawson James Securities Sanctioned Over Alleged Supervisory Failures
The Financial Industry Regulatory Authority (FINRA) recently sanctioned brokerage firm Dawson James Securities, Inc., (Dawson James) concerning allegations that the firm did not provide for supervision reasonably designed to comply with certain applicable securities laws and regulations. FINRA has stated that at a minimum, written supervisory procedures should describe: (a)…