Brookville Capital Partners, Document Security Systems— Unsuitable Professional Recommendations

investors rights attorneysRecent Case Allegations: Brookville Capital Partners Invested Investor Money in One Speculative Small Cap Stock, Document Security Systems Against His Conservative Investment Goals and Did Not Represent the Risk Involved

An investor recently won an award on claims that that Brookville Capital Partners invested his money in one speculative small cap stock, Document Security Systems (DSS), contradicting his conservative investment goals, and not representing the true risk involved, according to a FINRA Dispute Resolution award currently under review by attorneys Joe Peiffer and Alan Rosca.

The Peiffer Rosca Wolf securities lawyers are investigating the sales practices of investment professionals that recruited investors to DDS, and whether such professionals made unsuitable recommendations to invest in DSS to investors without appropriate risk disclosures.

One should also note that no allegations of misconduct are being made as to DSS.

The Price of Document Security Systems, a Small Cap Stock, Dropped from About $13.00 to Under $0.20 over the Last Few Years

The price of Document Security Systems traded at $13.07 in July of 2007 and as of the date of this blog is currently trading at around $0.14, according to recent reports currently being analyzed by attorneys Joe Peiffer and Alan Rosca.

The FINRA Panel decided that Brookville Capital Partners is liable for and shall pay the investor $156,891.38 in compensatory damages and that Brookville Capital Partners is liable to pay interest to said investor in the amount of $75,050.00, the aforementioned FINRA Panel reports.

Brookville denied the allegations made in the FINRA Statement of Claim and asserted various affirmative defenses.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged unsuitable private securities recommendations. They are currently investigating the sale of DSS to investors by certain investment professionals. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of alleged unsuitable private securities recommendations may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1180 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.