Dawn Bennett— Separation Regarding Sales of Promissory Notes

New Orleans Investment fraud attorneysDawn Bennett, Host of “Financial Myth Busting”, Subject of Six Customer Complaints and One Regulatory Investigation; Permitted to Resign by Western International Securities Inc. Following Disclosure of Promissory Notes with Firm Customers

Dawn Bennett, 53, and host of the radio show “Financial Myth Busting”, is facing multiple customer complaints and one regulatory investigation, according to her FINRA BrokerCheck Report.

Dawn Bennett, for example, is facing a claim that alleges a lack of diversification in their portfolio, from the time period from November 2010 through May of 2014, according to said BrokerCheck report. Another allegation from the BrokerCheck report alleges that Bennett engaged in misrepresentation of facts.

Dawn Bennett was permitted to resign by Western International Securities, Inc. following the discovery of promissory notes with firm customers by registered reps without disclosure to the firm, FINRA reports.

Dawn Bennett Settled a Claim with a Fifteen Year Client, Who, and Despite Her Approval, Requested $1,625,760, Claiming Dawn Bennett Allegedly Violated a Duty; FINRA Granted $100,000

Dawn Bennett, according to her FINRABroker Check, settled a claim with a client, who, following a fifteen year relationship, and despite the client’s approval, requested $1,625,760, claiming that Dawn Bennett allegedly violated a duty, and eventually was granted $100,000.

Despite approval for all transactions, another claimant alleged that some of Bennett’s transactions allegedly violated a breach of duty, and was allegedly negligent in said account from the period of May 2010 through November 2013, requesting $850,000 in damages, FINRA reports.

Finally, Dawn Bennett is facing an investigation that she violated NASD and FINRA Conduct Rules, FINRA’s BrokerCheck reports.

The Peiffer Rosca Wolf Securities Lawyers Often Assist Investors

The Peiffer Rosca Wolf securities lawyers assist investors who lose money as a result of alleged unsuitable promissory note sales. 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 promissory note sales are encouraged to 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 (1157 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.