Our Staff has compiled our research into a database of FINRA Broker Disclosures for Dawson James Securities, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Ernest Charles Robinson | 2730058 | 4 | 03/25/2019 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Karen Jo Clark | 1182667 | 13 | 02/23/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Richard Fox | 1564765 | 6 | 02/01/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dominic Joseph Linsalata | 2703709 | 3 | 07/30/2018 | Customer Dispute | Settled | $80,013.10 | $0.00 | See FINRA Report |
| Karen Jo Clark | 1182667 | 13 | 06/07/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Karen Jo Clark | 1182667 | 13 | 05/24/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Karen Jo Clark | 1182667 | 13 | 03/14/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Karen Jo Clark | 1182667 | 13 | 12/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Peter George Ruggiere | 2248318 | 6 | 11/07/2017 | Customer Dispute | Denied | $34,869.00 | $0.00 | See FINRA Report |
| Karen Jo Clark | 1182667 | 13 | 10/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |