It appears through Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that there are six investors who brought disputes about securities broker David Pawloski (CRD#: 1438717, Red Bank, New Jersey). Evidently, Pawloski worked for Oppenheimer Co. from 2002 to 2018 and he joined Cantella Co. as a securities broker in January 2018. Here is a quick rundown of what investors have alleged against Pawloski.
Evidently, a client of Cantella Co. brought a dispute about David Pawloski. Namely, in the April 2020 dispute, the client appeared to suffer damages on equity securities. For this reason, they asked for compensation. The client’s complaint has been denied by Cantella Co.
In a second dispute on David Pawloski’s record, a client of Oppenheimer disputed his trading. Specifically, the client alleges in this May 2017 complaint that Pawloski traded without authorization. Not only that, but Pawloski is accused of making unsuitable stock trades. Suitability generally concerns a client’s investment goals, risk tolerance, financial needs and other important information. Apparently, Oppenheimer opted to settle the client’s complaint through making a $60,000 payment in October 2017.
Apparently, an Oppenheimer client contested David Pawloski’s actions in an August 2016 FINRA Arbitration Claim. Supposedly, Pawloski advised the client regarding direct investments and oil and gas investments. The client alleged that Pawloski recommended unsuitable investments. In addition, the securities broker allegedly charged the client high fees and commissions. For this reason, Oppenheimer opted to settle with the client through making a $20,000 payment in July 2017.
It appears that David Pawloski stands accused of some additional sales practice violations. For example, in his first reported dispute, a client received compensation after making allegations of questionable investment recommendations. In another of his reported disputes, a client alleged misrepresentation. It appears that the client received $15,000 in compensation. There is also a customer’s allegation of the failure to follow instructions, but that complaint was denied.
Did securities broker David Pawloski cause you to incur losses? If so, call Soreide Law Group at (888) 760-6552 and speak with a skilled securities lawyer about a potential recovery of your losses. Soreide Law Group represents clients on a contingency fee basis and advances all costs. The firm has recovered millions of dollars for investors incurred losses because of financial advisors and securities brokers. Please note that Pawloski denies all allegations of his sales practice violations.
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Cowen and Company, LLC (CRD 7616), now part of TD Securities (USA) LLC, is a brokerage firm based in New York, New York. FINRA censured and fined the firm a total of $80,000, of which $40,000 is payable to FINRA, according to an AWC issued August 19, 2026.
Webull Financial LLC (CRD 289063) is a brokerage firm based in New York, New York. FINRA censured and fined the firm $115,000 after finding it maintained inaccurate books and records of options order origin codes, according to an AWC issued August 17, 2026.
Marc Miller (CRD 1133692) is a registered representative with Western International Securities. According to BrokerCheck, a customer filed a claim against him on March 3, 2025 that remains pending.
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