| Read Time: 2 minutes | Dawson James Complaints | News & Articles |


Frank Fusco of Dawson James Securities, Inc. And Formerly With Legend Securities, Inc. Has 5 Customer Complaints For Alleged Broker Misconduct

Who is Frank Fusco with Dawson James Securities, Inc.?

Frank Fusco (CRD #1233242) who is currently registered with Dawson James Securities, Inc. and located in Pelham, New York, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Dawson James Securities, Inc., Frank Fusco was associated with Legend Securities, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Frank Fusco Customer Complaints

Frank Fusco has been the subject of 5 customer complaints that we know about. One of the customer complaints resulted in an arbitration award to the customer. The other 3 customer complaints were settled in favor of the investors. The last customer complaint was dismissed by the brokerage firm and the customer took no further action to date.

Allegations Against Frank Fusco

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Unsuitable investment recommendations, overconcentration, and churning.
  • Misrepresentation, churning, unauthorized trading, excessive trading, and violations of the federal securities laws and FINRA rules resulting in an arbitration award in favor of the investor.
  • Unsuitable investment recommendations. Excessive trading.
  • Unauthorized trading.

Frank Fusco Red Flags & Your Rights As An Investor

Of course, Frank Fusco 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 which should put all current and former customers of Frank Fusco at Dawson James Securities, Inc. and Legend Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Frank Fuscohas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Dawson James Securities, Inc. and Legend Securities, Inc.also raises questions about the brokerage firms’ 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 Dawson James Securities, Inc. Due To Frank Fusco

If you have questions about Dawson James Securities, Inc. and/or Frank Fusco 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.

Author Photo

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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars