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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Reda | 2373567 | 4 | 10/23/2000 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Harold Eugene Stice | 1349210 | 2 | 02/23/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Christopher Rypl | 2207834 | 2 | 11/13/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Timothy Keyser | 1444702 | 5 | 05/05/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank David Terzo | 1895704 | 1 | 04/16/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Russell Curtis | 1402285 | 7 | 06/20/1997 | Customer Dispute | Award / Judgment | $0.00 | $12,500.00 | See FINRA Report |
| Thomas William Hands | 1332915 | 2 | 12/18/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Russell Curtis | 1402285 | 7 | 10/18/1996 | Customer Dispute | Dismissed | $100,000.00 | $0.00 | See FINRA Report |
| Harold Eugene Stice | 1349210 | 2 | 06/27/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter George Ruggiere | 2248318 | 6 | 01/16/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |