Customer complaints of misrepresentation and unsuitability
Did you lose money investing with Michael Dawson? Under FINRA Rules, brokerage firms are liable for their brokers’ misconduct and investors may be able to their investment through FINRA arbitration. Contact Sonn Law Group today or call us at 866–827–3202 for a free consultation.
UBS Financial Services broker Michael C. Dawson, (CRD# 62907) has a customer complaint against him for well over $2 million dollars for alleged unsuitability and misrepresentation while he was employed with Deutsche Bank Securities of Houston, TX.
Dawson was a broker at Deutsche Bank Securities from 2013–2015.
According to Dawson’s FINRA Broker Check profile, he has 45 years experience with five firms, including: UBS Financial Services of Houston, TX (12/2015 — present); Deutsche Bank Securities of Houston, TX (08/2013–12/2015); Bank of America, also of Houston, TX (12/2009–08/2013) and Merrill Lynch, Pierce, Fenner & Smith of Dallas, TX (12/2009–08/2013).
Dawson has one customer complaint in his FINRA record.
In September 2018, a customer alleged that from November 2013 through December 2015, Dawson recommended unsuitable investments and misrepresented the diversification of the customer’s portfolio.
The claimant alleged unsuitable investments and misrepresentation of the risks associated with over-concentration in energy sector Master Limited Partnerships.
Jeffrey R. Sonn is an experienced investor losses attorney. If you suffered losses because a financial professional or corporate executive misappropriated funds, Mr. Sonn will protect your rights and interests. Please do not hesitate to contact the Sonn Law Group today for a free review of your claim.