James Gustafson: Two Regulatory Sanctions

James GustafsonPublic records published by the Financial Industry Regulatory Authority (FINRA) on April 14, 2017 indicate that former New York-based Dawson James Securities broker James Gustafson, Jr. has been sanctioned by the Florida Office of Financial Regulation and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Gustafson (CRD# 2821312).

James Gustafson has spent fifteen years in the securities industry and was most recently registered with Dawson James Securities in New York, New York (2016). Previous registrations include Lampert Capital Markets in New York, New York; PHX Financial in New York, New York; National Securities Corporation in New York, New York; Global Arena Capital in New York, New York; Halcyon Cabot Partners in New York, New York; Forge Financial Group in New York, New York; Westrock Advisors in New York, New York; Capital Growth Financial in New York, New York; Park Capital Securities in New York, New York; Sky Capital in New York, New York; Weatherly Securities in New York, New York; Keaton Financial Services in Hackensack, New Jersey; Walsh Manning Securities; Coleman & Company in New York, New York; and First Republic Group in New York, New York. He is currently not registered with any state or firm.

According to his BrokerCheck report, James Gustafson has received two regulatory sanctions.

In July 2016, the Florida Office of Financial Regulation sanctioned James Gustafson following allegations he made a material misstatement on his application for registration. His application for registration was denied.

In May 2016, the Florida Office of Financial Regulation sanctioned James Gustafson following allegations he made a false statement on his registration application. His application for registration was denied.

If you or someone you know has a complaint regarding James Gustafson, call the attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. You may have a limited window by law to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.