James Cabourne Blaszyk, of Boca Raton, Florida, a stockbroker registered with Wells Fargo Clearing Services LLC, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $400,000.00 in damages based upon allegations that Blaszyk made unsuitable investment recommendations when Blaszyk was associated with Wells Fargo Clearing Services LLC. FINRA Arbitration No. 23-03331 (November 20, 2023).
This is not the first time that Blaszyk has been referenced in a customer initiated investment related dispute concerning Blaszyk’s conduct in the securities industry. FINRA Public Disclosure shows that Blaszyk was also referenced in a customer initiated investment related complaint that was settled on February 18, 2019, to resolve alleged omissions of material fact concerning fees and risks of mutual funds during the time that Blaszyk was associated with Wells Fargo Advisors. The claim also alleged excessive sales charges.
Blaszyk has been associated with Wells Fargo Clearing Services LLC in Boca Raton, Florida since April 10, 2008. Additionally, Blaszyk has been associated with Wells Fargo Advisors as an investment advisor representative since April 15, 2008.
