Soreide Law Group represents clients nationwide before FINRA on a contingency fee basis.  We are conveniently based in Pompano Beach, Florida, for all of our South Florida clients.  The following information regarding a South Florida brokerage firm, was obtained from the April 2017 Disciplinary Report on FINRA’s website: Dawson James Securities, Inc. (CRD #130645, Boca […]

Florida-based Soreide Law Group has obtained the following summation of information from FINRA's Website under "Disciplinary and Other FINRA Actions February 2015." Dawson James Securities, Inc. (CRD #130645, Boca Raton, Florida) was censured and fined $30,000 for allegedly failing to establish and implement an adequate system to determine whether a former registrant’s disclosed outside business […]

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 […]

Soreide Law Group, PLLC, had begun an investigation on behalf of clients of Jason T. Knapp, formerly employed by Dawson James Securites. Knapp was charged with allegedly running a Ponzi scheme through SteepleChase Group. Knapp allegedly promised his clients, many from New York and Florida, unrealistic returns of 18 to 20 percent. Knapp was registered […]

Jason T. Knapp, Corinth, New York, was arrested in connection with a nationwide Ponzi scheme, which allegedly involves hundreds of thousands of dollars. Knapp was a registered representative of Dawson James Securities of Boca Raton, FL, and had raised investment capital with a company call SteepleChase Group, making claims that returns on investments would be […]

Dawson James Securities, Inc. (CRD® #130645, Boca Raton, Florida), Albert James Poliak (CRD #1270681, Registered Principal, Parkland, Florida), and Douglas Fulton Kaiser (CRD #1674570, Registered Principal, Deerfield Beach, Florida)   submitted Offers of Settlement in which the firm was censured and fined $90,000. Poliak, Dawson’s CEO, and Kaiser, who acted at times as both the […]