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.
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- Former BMO Harris Financial Advisors, Inc. Broker, Lori Ann Sacco, Suspended Six Months By FINRA For Allegedly Altering Customer Account Documents
- Former Woodbury Financial Services, Inc. Broker, Jodie Lane, Suspended Six Months By FINRA For Allegedly Accepting Gifts And Becoming Beneficiary Of A Client
- Broker, Kimberley Schkade-Hill, Supsended by FINRA For Four Months And Fined $10,000 For Allegedly Having Clients Sign Documents In Blank
- LPL Financial LLC Broker, Matthew Clason, Is The Subject Of An SEC Enforcement Action For Allegedly Stealing Hundreds Of Thousands Of Dollars From A Client
- Former Capitol Securities Management Inc. Broker, Michael Rubel, Suspended By FINRA For 45 Days For Allegedly Engaging In Short-term Trading Of Unit Investment Trusts
- Recovering Your Investment Losses In Non-Traded Real Estate Investment Trusts And Business Development Companies
- Former Westpark Capital, Inc. Broker, Hary Datys, Suspended By FINRA For Fifteen Months For Allegedly Failing To Conduct Due Diligence Before Selling Promissory Notes
- Former Ameriprise Financial Services, LLC Advisor, Arthur Hoffman, Barred By FINRA For Allegedly Failing To Provide Documents In Relation To Investigation Into Outside Business Activities
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