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Former UBS Financial Services, LLC And Current Ameriprise Financial Services Financial Advisor, James Kujawski, Was Discharged By UBS And Is Currently The Subject Of A FINRA Investigation

The Wolper Law Firm is currently investigating claims against James Kujawski, a former Financial Advisor at UBS Financial Services and current Financial Advisor at Ameriprise Financial Services.  James Kujawski is based in Annapolis, MD.

According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in February 2018, James Kujawski was discharged from his employment at UBS for failure to disclose certain outside business activities.  This non-disclosure and discharge has since prompted FINRA to initiate an investigation of James Kujawski for “alleged violation of FINRA rules related to participation in a private securities transaction and failure to provide prior firm with written notice of outside business activities.”  The regulatory investigation remains pending.

Separately, James Kujawski has been the subject of seven (7) customer complaints while employed at UBS Financial Services, Morgan Stanley, and Prudential Securities, including the following:

  • July 2015—Customer alleged misrepresentations in connection with options transactions.  The complaint remains pending.
  • July 2010—Customer alleged unsuitable investment recommendations.  The complaint was settled.
  • March 2009—Customer alleged that unsuitable stocks were purchased using margin.  The complaint was settled for $40,000.

Attorney Matthew Wolper

Attorney Matthew WolperMatt Wolper is a trial lawyer who focuses exclusively on securities litigation and arbitration. Mr. Wolper has handled hundreds of securities matters nationwide before the Financial Industry Regulatory Authority (FINRA), American Arbitration Association (“AAA”), JAMS, and in state and federal court. Mr. Wolper has handled and tried cases involving complex financial products and strategies ranging from traditional stocks and bonds to options, margin and other securities-based lending products, closed/open-end mutual funds, structured products, hedge funds, and penny stocks. [Attorney Bio]