Stephen George Kowalski of Parsippany New Jersey is a stockbroker currently registered with Hennion and Walsh who is the subject of a customer initiated investment related arbitration claim in which the customer sought six hundred seventy thousand dollars in damages based upon accusations that municipal debt purchases were effected in customers’ accounts that were not suitable for the customers between 2012 and 2017. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-03137 (Nov. 27 2017).
FINRA Public Disclosure reveals that a customer initiated investment related arbitration claim involving Kowalski’s conduct was settled for $99,000.00 in damages supported by allegations that unsuitable unit investment trust, mutual fund and municipal debt transactions had been executed in the customer’s account, and trades had been effected with the primary emphasis of Kowalski generating commissions from the customer. FINRA Arbitration No. 09-03450 (Feb. 18, 2010).
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Guiliano Law Group
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