Last Updated: June 2024 (Grand Rapids, MI)
Gregory E. Dodgson Investigation Summary
Here’s what you need to know about Grand Rapids, MI stockbroker Gregory E. Dodgson:
- Name: Gregory E. Dodgson
- Current Employer: Not currently registered with FINRA
- Prior Employers: LPL Financial (until 5/2024), Royal Securities, Kent King Securities
- DBA: Mosaic Wealth Management
- Function: Stockbroker / Financial Advisor
- Primary Location: Grand Rapids, MI
- CRD Number: 69219
- Can Gregory E. Dodgson be sued in FINRA arbitration: Yes
- Sanctioned by FINRA (NASD): Yes
- Discharged by a Prior Employer: Yes
- Highest Settlement or Award: $30,000
If you’ve sustained damages from Mr. Dodgson, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Gregory E. Dodgson As Your Stockbroker?
Early in his career a customer filed an arbitration alleging that Gregory E. Dodgson made unauthorized trades, failed to execute sell orders, and mismarking solicited recommendations as unsolicited. An arbitration panel made an award of $30,000 to the customer.
Dodgson discloses 4 prior regulatory events, including:
- Regulatory Action: On September 18, 1984, the National Association of Securities Dealers (NASD) initiated a regulatory action against Dodgson for various violations, including failing to comply with SEC Rule 15c3-3 and maintaining required net capital. He was censured and fined $2,500 (Case number CHI-759-AWC).
- Regulatory Action: On November 30, 1988, NASD initiated another regulatory action for failing to maintain minimum required net capital. Dodgson was censured and fined $5,000 (Case number CHI-1081-AWC)
In 5/2024 LPL Financial discharged Gregory Dodgson and allege the following on his FINRA record: “Mismarked solicited recommendations of low-priced securities in customer’s accounts as unsolicited.”
[LEARN MORE]:
Solicited vs Unsolicited Trades
Other Cases Involving Unauthorized Trading
Allegations of Broker Misconduct Against Gregory E. Dodgson
Allegations
Customers of Gregory E. Dodgson have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unauthorized trading
- Failure to execute sell orders
- Mismarking solicited recommendations as unsolicited
- Violation of SEC rules
Brokers and their firms have a duty to comply with FINRA rules, including the suitability rule (FINRA Rule 2111) and the obligation to observe high standards of commercial honor and just and equitable principles of trade (FINRA Rule 2010). Allegations such as unauthorized trading, failure to execute sell orders, and mismarking recommendations suggest potential violations of these obligations.
Recover Your Investment Losses Now With Rex Securities Law
[LEARN MORE]: Investigation of LPL Financial and LPL Brokers-Lawsuits, Arbitrations & Customer Disputes
If you have suffered investment losses in an account handled by Gregory E. Dodgson, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
