Did you suffer investment losses with Dawson James Securities (CRD# 130645) (SEC# 8-66367)?
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Dawson James Securities. If you suffered losses investing with Dawson James Securities, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
As of April 4, 2020, Dawson James Securities’s FINRA BrokerCheck Report contains the following:
10 Regulatory Event Disclosures
2 Civil Event Disclosures
2 Arbitration Disclosures
Main Office Location
1 NORTH FEDERAL HIGHWAY
SUITE 500
BOCA RATON, FL 33432
Mailing Address
1 NORTH FEDERAL HIGHWAY
SUITE 500
BOCA RATON, FL 33432
Business Telephone Number
561-391-5555
Dawson James Securities’s Direct Owners and Executive Officers
ARK FINANCIAL SERVICES, INC., OWNER
AULICINO, RICHARD (CRD#:1225947), PRESIDENT
BELICEK, REBECCA JANE (CRD#:2106922), CHIEF COMPLIANCE OFFICER-AML COMPLIANCE OFFICER-EXECUTIVE REP-REGIONAL BRANCH COMPLIANCE MANAGER
KEYSER, ROBERT DAWSON JR. (CRD#:1291503), CEO
KURTZ, KEVIN SCOTT (CRD#:5314588), CHIEF FINANCIAL OFFICER/FINOP
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Dawson James Securities and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
