Jerome Messana (Aegis Capital Corp., Dawson James) In Client Disputes Over Excessive Trading

Investors potentially experienced sales practice violations due to securities broker Jerome Anthony Messana [CRD: 712315, Manasquan, New Jersey], according to publicly available information on FINRA BrokerCheck. Evidently, Messana joined Aegis Capital Corp. on September 21, 2021. He worked with Dawson James Securities Inc. from February 9, 2008, to October 12, 2021. Keep reading to learn more about the disclosures involving Messana.

Dawson James Securities Inc. Investor Accused Messana Of Misrepresentation

Evidently, a Dawson James Securities Inc. client filed FINRA Arbitration No. 24-01528 about Jerome Messana. Allegedly, Messana made misrepresentations, failed to supervise, used margin inappropriately, churned accounts, engaged in unauthorized trading, and made unsuitable recommendations. Because of this, the investor allegedly sustained damages connected to stocks. As a result, on November 1, 2024, Dawson James Securities Inc. settled this matter by paying the client $10,000.00 in damages.

Jerome Messana Disclosed Excessive Trading Allegations By Aegis Capital Corp. Client

Particularly, a client of Aegis Capital Corp. contested Jerome Messana’s conduct by bringing FINRA Arbitration No. 23-02678. Allegedly, Messana engaged in excessive trading, unauthorized trading, and unsuitable use of margin. Therefore, Aegis Capital Corp. opted to settle the dispute on November 14, 2023, by paying compensation totaling $50,000.00.

Dawson James Investor Accused Messana Of Failure To Perform Due Diligence

Specifically, a Dawson James Securities Inc. client filed FINRA Arbitration No. 21-02383 about Jerome Messana. Evidently, the client claimed that Messana made unsuitable recommendations, failed to perform due diligence, made omissions, and made misrepresentations about real estate securities. For this reason, on December 14, 2022, Dawson James Securities Inc. settled this matter by paying the client $20,000.00 in damages.

Jerome Messana Disclosed Unauthorized Trading Allegations By Commonwealth Associates Client

Also, a client of Commonwealth Associates disputed Jerome Messana’s sales practices by filing NASD Arbitration No. E1001-0716. Allegedly, Messana violated state securities laws, made misrepresentations, was negligent, engaged in excessive trading, engaged in unauthorized trading, and gave unsuitable advice. It appears that Messana caused the client to sustain damages linked to over-the-counter equities. As a result, Commonwealth Associates opted to settle the matter on December 7, 2021, by paying $60,000.00.

Did You Sustain Losses Because Of Securities Broker / Financial Advisor Messana?

Do you need clarification on any investment losses relating to Jerome Messana? You should reach out to Soreide Law Group at (888) 760-6552 or online and talk with a securities lawyer regarding a possible recovery. For more than a decade, Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm takes cases on a contingency fee basis and advances all costs. Messana and brokerage firms Messana worked for deny allegations of sales practice violations.