10.0David P Neuman
(720) 599-3505

WARNING! Investigation of PRANAV PATEL

Tag Archives: Dawson James Securities

29
Sep

WARNING! Investigation of PRANAV PATEL

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WARNING!  Investigation of PRANAV PATEL

Pranav Patel, formerly with Dawson James Securities, Barred by SEC   Have you lost money with financial advisor Pranav V. Patel of Boca Raton, Florida?  We are investigating allegations made by the Securities and Exchange Commission (SEC).   The SEC alleged that Patel received cash kickbacks for recommending that his customers invest in Forcefield Energy, Inc. ...

18
Apr

UPDATE! Peyton Jackson – New York, NY

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UPDATE!  Peyton Jackson – New York, NY

Peyton Jackson, formerly of Alexander Capital, Subject of Another FINRA Complaint   Have you lost money with financial advisor Peyton Jackson of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Peyton N. Jackson. FINRA previously suspended Jackson for six months from the securities industry regarding allegations ...

07
Mar

INVESTOR ALERT! Losses in ForceField Energy?

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INVESTOR ALERT!  Losses in ForceField Energy?

Losses in ForceField Energy, Inc.?   Have you lost money investing in ForceField Energy, Inc.?  The Securities and Exchange Commission (SEC) recently brought a complaint against a number of individuals who operated ForceField Energy (formerly known as SunSi Energies), as well as a number of financial advisors and stockbrokers who recommended that their customers invest ...

08
Feb

INVESTOR ALERT! DAWSON JAMES SECURITIES

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INVESTOR ALERT!    DAWSON JAMES SECURITIES

Dawson James Securities Fined $75,000 For Supervisory Failures   We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) against Dawson James Securities, a Boca Raton, Florida-based securities brokerage firm.  In a recent regulatory action, FINRA fined Dawson James $75,000 regarding allegations that it failed to adequately supervise research and private offerings.   ...

04
May

WARNING! Impending Investigation: FORCEFIELD ENERGY, INC.

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WARNING!  Impending Investigation:  FORCEFIELD ENERGY, INC.

Losses in ForceField Energy, Inc.?   Have you lost money investing in ForceField Energy, Inc.?  The Securities and Exchange Commission (SEC) recently brought a complaint against a number of individuals who operated ForceField Energy (formerly known as SunSi Energies), as well as a number of financial advisors and stockbrokers who recommended that their customers invest ...

02
May

WARNING! lmpending Investigation: PEYTON JACKSON, ALEXANDER CAPITAL, LEGEND SECURITIES, AND DAWSON JAMES SECURITIES

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WARNING!  lmpending Investigation:  PEYTON JACKSON, ALEXANDER CAPITAL, LEGEND SECURITIES, AND DAWSON JAMES SECURITIES

Peyton Jackson, Alexander Capital, Legend Securities, and Dawson James Securities   Have you lost money with financial advisor Peyton Jackson of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Peyton N. Jackson. FINRA suspended Jackson for six months from the securities industry regarding allegations about failing ...

23
Sep

WARNING! Impending Investigation: ALDO COMUZZI and DAWSON JAMES SECURITIES

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WARNING!  Impending Investigation:  ALDO COMUZZI and DAWSON JAMES SECURITIES

Aldo Comuzzi and Dawson James Securities Have you lost money with financial advisor Aldo Comuzzi of Boca Raton, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Aldo Comuzzi. FINRA barred Comuzzi from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Comuzzi regarding ...

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