Articles Tagged with dawson james securities

Thomas Curtis

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 14, 2017 indicate that Maryland-based Dawson James Securities broker Thomas Curtis has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Curtis (CRD# 1402285).

Thomas Curtis has spent 29 years in the securities industry and has been registered with Dawson James Securities in Columbia, Maryland since 2008. Previous registrations include Spencer Edwards in Centennial, Colorado (2007-2008); Moors & Cabot Financial Advisors in Dayton, Maryland (2005); Moors & Cabot in Dayton, Maryland (1999-2005); Schneider Securities in Denver, Colorado (1995-1997); Baraban Securities in Los Angeles, California (1994-1995); Tamaron Investments in Englewood, Colorado (1992-1994); JW Gant & Associates (1987-1992); and Michelin & Company (1985-1987). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 2, 1985; Series 7 (General Securities Representative Examination), which he obtained on August 17, 1985; Series 4 (Registered Options Principal Examination), which he obtained on November 30, 1987; and Series 24 (General Securities Principal Examination), which he obtained on November 10, 1985. He is a registered broker with 35 US states and territories and with two self-regulatory organizations: FINRA and the Nasdaq Stock Market.

According to his BrokerCheck report, he has received two customer complaints and one pending customer complaint.

David WeinsteinPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 6, 2017 indicate that Florida-based Dawson James Securities broker/adviser David Weinstein has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Weinstein (CRD# 1370869).

David Weinstein has spent 22 years in the securities industry and has been registered with Dawson James Securities in Boca Raton, Florida since 2005. Previous registrations include National Securities Corporation in Seattle, Washington (2001-2005); Sterling Financial Investment Group in Boca Raton, Florida (2000-2001); Joseph Charles & Associates in Boca Raton, Florida (1994-2000); Comprehensive Capital Corporation in Great Neck, New York (1991-1994); GK Scott & Company in Plainview, New York (1987-1991); and the Stuart-James Company (1985-1987). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtanied on June 18, 1995; Series 7 (General Securities Representative Examination), which he obtanied on May 18, 1985; and Series 24 (General Securities Principal Examination), which he obtanied on February 11, 1988. He is a registered broker and investment adviser with 18 US states and territories: Arizona, California, Colorado, the District of Columbia, Florida, Kansas, Louisiana, Massachusetts, Michigan, Missouri, New Hampshire, New Jersey, New Mexico, New York, Oklahoma, Pennsylvania, Texas and Virginia. He is registered with two self-regulatory organizations (SROs): FINRA and the Nasdaq Stock Market.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.

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.

Mark KalterPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that New York-based Dawson James broker Mark Kalter has been sanctioned by FINRA and received resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kalter (CRD# 1998911).

Mark Kalter has spent 23 years in the securities industry and has been registered with Dawson James Securities in New York, New York since February 2016 previous registrations include Woodstock Financial Group in Garden City, New York; Meyers Pollock Robbins, which has since been expelled by FINRA, in New York, New York; Monitor Investment Group, which has since been expelled by FINRA; Biltmore Securities, which has since been expelled by FINRA, in Fort Lauderdale, Florida; Windsor Reynolds Securities in Honolulu, Hawaii; Stratton Oakmont, which has since been expelled by FINRA, in Lake Success, New York; and Smith Barney Harris Upham in New York, New York. He is a registered broker with eight US states and territories: Michigan, Minnesota, New York, Ohio, Pennsylvania, Texas, Virginia, and Washington. Continue Reading

Carlo Corzine Public records published by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that Florida-based Dawson James Financial broker Carlo Corzine is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Corzine (CRD# 1928723).

Carlo Corzine has spent 26 years in the securities industry and has been registered with Dawson James Securities in Boca Raton, Florida since 2012. Previous registrations include Hamershlag Sulzberger Borg Capital Markets in New York, New York; Buckman Buckman & Reid in Boca Raton, Florida; Newbridge Securities in Boca Raton, Florida; Sterling Financial Investment Group, which has since been expelled by FINRA, in Boca Raton, Florida; Round Hill Securities in Alamo, California; Northeast Securities in Mitchelfield, New York; PCM Securities in Green Acres, Florida; Southeast Research Partners in Melville, New York; Josephthal Lyon & Ross in New York, New York; JW Gant & Associates; and Shearson Lehman Hutton in New York, New York. He is a registered broker and investment adviser with 16 US states and territories: Arizona, California, Delaware, Florida, Georgia, Indiana, Minnesota, Missouri, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Texas, Virginia, and Washington. Continue Reading

James HopkinsPublic records published by the Financial Industry Regulatory Authority (FINRA) on July 27, 2016 indicate that Florida-based Dawson James Financial broker James Hopkins is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hopkins (CRD# 2688074).

James Hopkins has spent 11 years in the securities industry and has been registered with Dawson James Securities in Boca Raton, Florida since 2014. Previous registrations include Sky Capital, which has since been expelled by FINRA, in New York, New York; Viewtrade Financial in Boca Raton, Florida; SAL Investment Services in Birmingham, Alabama; Sterling Financial Investment Group, which has since been expelled by FINRA, in Boca Raton, Florida; the Thornwater Company in New York, New York; Prime Charter in New York, New York; Shamus Group; and Roan Capital Partners in New York, New York. He is a registered broker with six US states: California, Florida, Illinois, New York, Pennsylvania, and Utah. Continue Reading

Pranav PatelPublicly available records provided by the US Department of Justice on May 3, 2016 indicate that former Florida-based Dawson James Securities broker Pranav Patel has been indicted in an alleged “market manipulation scheme.” The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Patel (CRD# 5391213).

Pranav Patel has spent seven years in the securities industry and was most recently registered with Dawson James Securities in Boca Raton, Florida (2015). Previous registrations include Columbus Advisory Group in New York, New York; National Securities Corporation in Miami, Florida; NSM Securities, which has since been expelled by FINRA, in West Palm Beach, Florida; CBG Financial Group in Boca Raton, Florida; and Gunnallen Financial in Boca Raton, Florida he is currently not registered with any state or firm. Continue Reading