Harvey Allan Kaluzna of Northbrook Illinois a stockbroker currently employed by Sigma Financial Corporation is the subject of a customer initiated investment related arbitration claim which was settled for $28,000.00 in damages based upon accusations that (1) misrepresentations had been made to the customer concerning unit investment trust and real estate security investments held in the customer’s invest portfolio and (2) Sigma Financial Corporation neglected to perform adequate due diligence on products sold to the customer. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-02795 (July 3, 2018).
FINRA Public Disclosure additionally reveals that a customer initiated investment related arbitration claim concerning Kaluzna’s conduct was resolved for $15,000.00 in damages supported by accusations that while Kaluzna was associated with Sigma Financial Corporation, the customer’s account was handled in a negligent manner; contractual obligations to the customer had been breached; misrepresentations were made to the customer about real estate investment trust products purchased by the customer between 2008 and 2016; and Sigma Financial Corporation failed to supervise the real estate security transactions placed in the customer’s account. FINRA Arbitration No. 16-01233 (June 21, 2017).
Kaluzna has been registered with Sigma Financial Corporation since October 3, 2006.
