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Peter Ruggiere Of Dawson James Securities Has 5 Customer Complaints For Alleged Broker Misconduct

Who is Peter Ruggiere of Dawson James Securities?

Peter Ruggiere (CRD #2248318) who is currently registered with Dawson James Securities and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations.

Peter Ruggiere Customer Complaints

Peter Ruggiere has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Peter Ruggiere’s 5 customer complaints resulted in an arbitration award in favor of the investor. One of Peter Ruggiere’s 5 customer complaints was settled in favor of investors. One of Peter Ruggiere’s customers’ complaints was denied and, to date, the customer has not taken any further action. There are currently two pending customer complaints filed against Newbridge Securities for investment losses caused by Peter Ruggiere’s alleged misconduct.

Allegations Against Peter Ruggiere

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

  • Churning allegedly by Peter Ruggiere.
  • Client alleged Peter Ruggiere’s misrepresentation.
  • Peter Ruggiere’s alleged purchase of unsuitable securities and misrepresentations relative to the purchase of those securities. Negligence, breach of fiduciary duty, breach of contract, negligent misrepresentations and omissions and lost opportunity.
  • Peter Ruggiere’s alleged suitability, performance, use of margin.
  • The statement of claim alleged that the respondent representatives recommended unsuitable transactions, made misrepresentations, and conducted excessive trading.

Peter Ruggiere Red Flags & Your Rights As An Investor

Of course, Peter Ruggiere 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 Peter Ruggiere at Dawson James Securities on alert to review carefully the activity and performance of their accounts and question whether Peter Ruggiere has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Dawson James Securities 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 Due To Peter Ruggiere

If you have questions about Dawson James Securities and/or Peter Ruggiere 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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