Gregory Joseph Rusnak of Saint Charles, Illinois, a stockbroker formerly registered with Sigma Financial Corporation, has been terminated from employment on December 13, 2017, based upon accusations that Rusnak violated Sigma’s policies by executing trades in a customer’s account on a discretionary basis.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on March 28, 2008, a customer initiated investment related written complaint involving Rusnak’s conduct was settled for $72,454.97 in damages based upon accusations that Rusnak excessively charged the customer and effected over-the-counter equities transactions that were not suitable for the customer.
Additionally, a customer filed an investment related arbitration claim pertaining to Rusnak’s activities, in which the customer requested $384,603.24.00 in damages supported by allegations that Rusnak made unsuitable investment recommendations to the customer between 2014 and 2016. FINRA Arbitration No. 17-02220 (Sept. 28, 2017).
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