Goodman & Nekvasil P.A., May Recover Investor Losses | Ronald Jacob Dawson (Jake Dawson), Financial Advisor Suspended from Securities Industry
Jake Dawson was previously licensed with Waddell & Reed and Merrill Lynch. FINRA reports that Jake Dawson was suspended from the securities industry on November 14th, 2018 for 45 days and ordered to pay a $5,000 monetary fine. FINRA reports that Jake Dawson consented to the sanctions and to the entry of findings that Jake Dawson borrowed $250,000 from a customer contrary to Jake Dawson’s member firm policies. FINRA reports that Jake Dawson borrowed the money through a corporation formed to conduct business at Jake Dawson’s new firm and used the borrowed funds to remodel office space that Jake Dawson planned to occupy.
Merrill Lynch, Pierce, Fenner & Smith Incorporated reported to FINRA that Jake Dawson voluntarily resigned on July 12th, 2016 after being accused of conduct involving sending client correspondence without management review, conducting client events without management approval and suing a business development account for a personal expense.
If you lost any money on investments with Jake Dawson, you may be able to recover your losses. This is If you lost money on investments with Jake Dawson and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Jake Dawson and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.