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WARNING! Impending Investigation: ALDO COMUZZI and DAWSON JAMES SECURITIES

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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 allegations that he engaged in excessive trading (also known as churning) and that he used discretion in a customer’s account with prior written authorization.

Aldo Comuzzi was a financial advisor and registered representative of Dawson James Securities from 2008 to September 2014.  He worked at a branch office in Boca Raton, Florida.  Comuzzi has been the subject of at least one other customer complaint, and he was terminated by Dawson James Securities for the alleged conduct at issue in the FINRA proceeding.

Brokerage firms like Dawson James Securities have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities America, National Securities Corp., and many others.

 

If you lost money with Aldo Comuzzi or Dawson James Securities, please Contact Us at 720-599-3505 for a free evaluation of your case.

 

Click to view:  Comuzzi FINRA AWC

Click to view:  Comuzzi BrokerCheck 9.23.15

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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