Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 11, 2017 indicate that former Florida-based Dawson James Securities broker/adviser Robert Wasserman has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wasserman (CRD# 1554789).
Robert Wasserman has spent 24 years in the securities industry and was most recently registered with Dawson James Securities in Boca Raton, Florida (2009-2016). Previous registrations include Wasserman & Associates in Myrtle Beach, South Carolina; Jesup & Lamont Securities in Boca Raton, Florida; Sky Capital in New York, New York; Viewtrade Financial in Boca Raton, Florida; Craig-Hallum Capital Group in Minneapolis, Minnesota; Sterling Financial Investment Group in Boca Raton, Florida; Ryan Beck & Company in Florham Park, New Jersey; Southeast Investments in Melville, New York; Josepthal Lyon & Ross in New York, New York; and LH Alton & Company in San Francisco, California. He is currently not registered with any broker-dealer firm.
According to his BrokerCheck report, Robert Wasserman has been sanctioned by FINRA.
In April 2017 FINRA sanctioned him following allegations he “as a research analyst at his member firm, he was personally prohibited under NASD Rule 2711(c)(4) from participating in efforts to solicit investment banking business, however Wasserman participated in the solicitation of investment banking business by appearing in a publicly available video, and making statements on the video promoting the firm’s investment banking business.” FINRA’s findings stated further: “Wasserman improperly issued research reports that lacked certain disclosures required by FINRA Rules. Specifically, Wasserman issued reports on behalf of the firm that improperly used conditional language in making disclosures of the firm’s and its employees’ ownership of subject company securities. The reports used certain ratings without defining them, and also did not conform to the requirements with respect to disclosure of the distribution of ratings on covered subject companies.” He was issued a 15-day suspension and a fine of $10,000.
If you or someone you know has lost money investing with Robert Wasserman, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.