JOHN TIMOTHY KEYSER is currently employed as a Broker and/or Investment Adviser at DAWSON JAMES SECURITIES, INC. located at 1 NORTH FEDERAL HIGHWAY, SUITE 500, BOCA RATON, FL, 33432.
JOHN TIMOTHY KEYSER has worked at DAWSON JAMES SECURITIES, INC. since August 12, 2004
JOHN TIMOTHY KEYSER has 5 Disclosure Event(s).
Date: January 11, 2010 Category: Customer Dispute Allegations: CHURNING, INTENTIONAL AND NEGLIGENT MISREPRESENTATION, UNSUITABILITY, BREACH OF FIDUCIARY DUTY AND UNAUTHORIZED TRADING. Damage Amount Requested: $650,000.00 Broker Comment: THE FIRM AND THE REGISTERED REPRESENTATIVE DISAGREE WITH THE ASSERTIONS AND ARE INITIATING STEPS TO TAKE APPROPRIATE ACTION TO REFUTE THE ALLEGATIONS. A LETTER WAS SENT TO THE CLIENT'S ATTORNEY ON MARCH 23, 2010. THE FIRM REFUTED THE ALLEGATIONS AND DENIED ANY WRONG DOING. THIS MATTER HAS NOT EVOLVED ANY FURTHER.
Date: July 24, 2006 Category: Customer Dispute Allegations: ON 8/8/06, CLIENT ALLEGED THAT THAT A STOP LOSS HAD NOT BEEN PLACED AS HE REQUESTED ON HIS POSITION OF 9000 SHARES OF INGN. Settlement Amount: $9,968.19 Broker Comment: THE REPRESENTATIVE IS CONFIDENT THAT THE STOP LOSS ORDER WAS PLACED ELECTRONICALLY IN KEEPING WITH THE CLIENT'S DIRECTIVE. IT IS UNKNOWN WHAT ERROR OCCURRED THAT RESULTED IN THE PROTECTIVE ORDER NOT GOING INTO AFFECT. AS A SHOW OF GOOD FAITH, THE REPRESENTATIVE FREELY ELECTED TO OFFSET THE LOSS THAT THE CLIENT ULTIMATE INCURRED ON THE POSITION. THE FIRM'S INTERNAL INVESTIGATION REVEALED NO WRONG DOING OR INTENTIONAL MISCONDUCT ON THE PART OF THE REPRESENTATIVE.
Date: May 05, 1998 Category: Regulatory Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Allegations: FAILED TO PAY ARBITRATION AWARD Resolution: Other SanctionDetails: Sanctions: Suspension Sanction Details: NASD REGISTRATION SUSPENDED ON 5/5/98 FOR FAILING TO PAY AN ARBITRATION AWARD IN ARBITRATION CASE # 95-00814 (CONSOLIDATED -W/#95-01118,95-01217,95-01264,95-01295,95-01533,95-01534, 95-04973)******NASD SUSPENSION OF REGISTRATION LIFTED 01/05/99 DUE TO PAYMENT OF ARBITRATION AWARD IN ARBITRATION CASE #95-00814***************** Broker Comment: INDUSTRY RELATED ABRITRATION THAT WAS RESOLVED UPON PAYMENT OF AWARD
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