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Douglas Dawson of Northwestern Mutual Investment Services Has a Customer Complaint for Alleged Broker Misconduct

Who is Douglas Dawson of Northwestern Mutual Investment Services?

Douglas Dawson (CRD #1362983) who is currently registered with Northwestern Mutual Investment Services and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations.

Douglas Dawson Customer Complaint

Douglas Dawson has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were the customer alleged that Douglas Dawson began a personal relationship with her in order to influence her to choose him as her representative and she alleged serious concerns about whether the advice she was given regarding her investment accounts when he was her representative, was suitable and appropriate. Douglas Dawson’s customer complaint was settled in favor of the investors.

Douglas Dawson Red Flags & Your Rights as an Investor

Of course, Douglas Dawson did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Douglas Dawson at Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether Douglas Dawson has engaged in any stockbroker misconduct that may have caused them investment losses.

A large number of customer complaints at Northwestern Mutual Investment Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim to Recover Your Investment Losses at Northwestern Mutual Investment Services Due to Douglas Dawson

If you have questions about Northwestern Mutual Investment Services and/or Douglas Dawson and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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