Dawson James Securities, Inc. (CRD #130645, Boca Raton, Florida)
was censured, fined $75,000, and required by FINRA to revise its Written Supervisory Procedures (WSPs). According to the FINRA report, Dawson James Securities WSPs allegedly failed to provide for one or more of the four minimum requirements for adequate WSPs in several subject areas required.
FINRA's findings stated that Dawson James Securities allegedly failed to alert to many "red flags" relating to one of their registered representative’s activities and failed to enforce its WSPs. One of the Written Supervisory Procedures specified that all electronic correspondence would be reviewed daily. Dawson James Securities also allegedly failed to make sure that its head trader was carrying out his supervisory responsibilities. (FINRA Case #2008012546802)
If you feel your stock account was inappropriately handled, or that the supervisory procedure in your brokerage was inadequate, Fort Lauderdale-based Soreide Law Group offers a free consultation and portfolio analysis to determine if you have legal grounds to pursue a FINRA arbitration. To speak with a lawyer call (888) 760-6552.
RONALD G SMITH (RON G SMITH) was formerly registered with SPARTAN CAPITAL SECURITIES of New York, NY from 07/01/2013 - 12/26/2023, and most recently with SANFORD C BERSTEIN & CO of Stamford, Connecticut from 01/11/2024 – 11/10/2025, was permanently barred by FINRA with the starting date of 11/10/2025. According to the FINRA report, without admitting […]
Jacob Lee Harper (Jacob L Harper, Jake Harper) formerly registered as a broker and a financial advisor, was suspended for twenty-two months and fined $17,500.00 after FINRA alleged he borrowed thousands of dollars from clients without his firm’s knowledge and later allegedly provided false information to regulators. The “Regulatory” disclosure on BrokerCheck is dated 11/10/2025. […]
Investors potentially incurred losses because of securities broker Daniel W. Ladner [CRD: 2932904, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Daniel Ladner has been registered with UBS Financial Services Inc. since November 7, 2008. Read on to discover more about Daniel Ladner’s disclosures. UBS Financial Services Inc. […]
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