Robert Keyser Subject of a FINRA Suspension
Robert Keyser (CRD #: 1291503), a broker registered with Dawson James Securities, is the subject of a regulatory action. This is according to his BrokerCheck record, accessed on June 3, 2024. Keep reading if you have questions regarding his alleged conduct.
Investor Allegations
On April 5, 2024, Robert Keyser entered into an Acceptance, Waiver, and Consent agreement (AWC) in which he consented to the findings that he used his text messages to communicate for business purposes during a period when his firm did not allow business communications via text. FINRA further alleged that Dawson James Securities failed to capture, retain, and review its representatives’ business-related text messages, causing the firm to maintain accurate books and records.
As part of the terms of the AWC, Robert Keyser consented to a $10,000 fine and a one-month suspension. You can see a copy of the AWC here.
FINRA Rule 4511
FINRA Rule 4511 requires firms to keep accurate and up-to-date books and records.
Background Information
Robert Keyser has passed the following exams:
- Series 63 Uniform Securities Agent State Law Examination
- Series 79TO Investment Banking Registered Representative Examination
- SIE – Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 24 General Securities Representative Examination
- Series 8 General Securities Sales Supervisor Examination (Options Module & General Module)
He is a registered broker in 14 states.
During his 34 years of experience, Robert Keyser has registered with 12 firms. These are the five most recent:
- Dawson James Securities (CRD #: 130645)
- Westpark Capital (CRD #: 39914)
- Aurora Capital (CRD #: 37924)
- Viewtrade Financial (CRD #: 47116)
- Sal Financial Services (CRD #: 18456)
Kurta Law Can Help
If you have worked with Robert Keyser and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.
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