One or more investors might have sustained losses because of securities broker John Colwell Kauzlarich (also known as Jake Kauzlarich) [CRD: 5096866, Overland Park, Kansas], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kauzlarich has worked with Park Avenue Securities LLC since August 14, 2008, and has also served as an investment adviser representative with the same firm since July 18, 2016. Read on to understand more about the disclosures concerning Kauzlarich.
Evidently, a Park Avenue Securities LLC client filed FINRA Arbitration No. 24-01134 about John Kauzlarich. Mainly, the client alleged that Kauzlarich made misrepresentations about a line of credit. The client also asserted that Kauzlarich failed to carry out instructions to change his risk model to a more conservative one. Because of this, the client allegedly sustained damages. Therefore, on May 5, 2025, Park Avenue Securities settled this matter by paying the client $225,000.00 in damages.
Also, Northwestern Mutual disaffiliated with Kauzlarich on April 15, 2008. Allegedly, Kauzlarich caused the securities broker dealer to maintain false records or books. According to the disclosure, Kauzlarich admitted to submitting an application that contained false information. The broker asserted that the act was unintentional.
Do you have concerns or questions regarding investments you made with John Kauzlarich? Contact Soreide Law Group online or at (888) 760-6552 and speak to a securities attorney concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for clients throughout the US. Also, the firm works on a contingency fee arrangement and advances all costs. Kauzlarich and the firms Kauzlarich worked for deny accusations of sales practice violations.
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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