Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker James Cabourne Blaszyk (CRD: 5364851, Boca Raton, Florida). Blaszyk has been registered with Wells Fargo Clearing Services LLC since April 10, 2008, and Wells Fargo Advisors since April 15, 2008. Recent disclosures reveal concerns regarding Blaszyk’s investment recommendations, including a pending client dispute alleging unsuitable investment recommendations.
Specifically, on November 20, 2023, a client of Wells Fargo Clearing Services LLC filed a FINRA arbitration claim (Case No. 23-03331), alleging that in 2022, Blaszyk made unsuitable investment recommendations. The client is seeking $400,000 in damages. This matter remains pending, and no settlement has been reached.
Additionally, on February 20, 2019, a previous client dispute was filed against Blaszyk, alleging that he misrepresented investment guarantees, failed to disclose excessive sales charges, and lacked diversification in investment recommendations. The client initially sought $10,293.53 in damages related to mutual fund investments. On April 18, 2019, Wells Fargo Advisors resolved the dispute through a settlement of $4,000. The firm made a business decision to settle without Blaszyk contributing to the payment.
Looking for more information about James Blaszyk? If so, reach out to Soreide Law Group online or at (888) 760-6552 to speak with a securities lawyer. The team at Soreide Law Group works on a contingency basis, advances all costs, and helps clients throughout the United States with recovering losses from sales practice misconduct. Blaszyk and the firms he worked for deny accusations of sales practice violations.
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