Aldo Comuzzi, a stockbroker who formerly worked for Dawson James Securities in Boca Raton, FL, was named in FINRA Arbitration 15-01203, alleging that Comuzzi traded the customer’s account without permission. Damages of $75,000 were claimed.
According to FINRA records, the case was settled for $65,000.
Comuzzi was barred from the securities industry by FINRA in September 2015 for failing to cooperate with FINRA in an investigation into whether he had engaged in excessive trading and whether he utilized discretion without written approval. FINRA Case 2014043592101.
If you have losses in an account handled by Aldo Comuzzi, you may be able to collect damages from his former employer.
Rex Securities Law Investment Fraud Attorney Investigates Dawson James Securities
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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