Frank Charles Wroblewski of Southampton New York a stockbroker formerly employed by Wells Fargo Clearing Services LLC has been discharged on January 22, 2018 founded on allegations that he took part in a private securities transaction; conduct violative of the firm’s policies.
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Wroblewski has been identified in four more customer initiated investment related disputes pertaining to accusations of Wroblewski’s misconduct during the time that he was registered with PaineWebber, Merrill Lynch and Prudential Bache. Particularly, on August 24, 1999, a customer filed an investment related complaint involving Wroblewski’s conduct in which the customer requested $9,988.00 in damages supported by allegations that the customer was advised that there would be no principal risk to the customer by investing in an over-the-counter equity.
On June 19, 2000, another customer initiated investment related complaint regarding Wroblewski’s conduct was resolved for $50,000.00 in damages based upon accusations that Wroblewski placed trades in the customer’s account on an excessive basis.
Wroblewski’s registration with Wells Fargo Clearing Services LLC was terminated on February 21, 2018. On April 3, 2018, Wroblewski became employed by National Securities Corporation.
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