The Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, April, 2013.”
Roman Jerzy Sledziejowski (CRD #3141438, Registered Principal, Ossining, New York)
was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Sledziejowski consented to the described sanction and to the entry of findings that as part of a fraudulent scheme,
he converted and/or misused funds of his member firm’s customers and provided false account statements to some of those customers in an attempt to conceal the misconduct.
FINRA's findings stated that during the course of Sledziejowski’s fraudulent scheme, a total of approximately $4.8 million was wired to a company that Sledziejowski owned from the bank and brokerage accounts of firm customers. These findings also stated that Sledziejowski provided some of the customers with account statements and account snapshots that displayed account balances consistent with what the customers believed to be in their firm brokerage account. Based on the actual account statements provided by the firm’s clearing firms, the statements Sledziejowski provided were fabrications and the values and holdings in the customers’ firm brokerage accounts differed significantly from what Sledziejowski led them to believe were in their brokerage accounts.
Sledziejowski has only returned approximately $1.5 million, to date, of those funds to the customers. Sledziejowski failed to cooperate with FINRA’s investigation and failed to appear for an on-the-record interview.
(FINRA Case #2012033559602)
It was listed on FINRA's BrokerCheck that this broker was previously registered with FINRA at the following brokerage firms:
TWS FINANCIAL, LLC.
CRD# 128572
BROOKLYN, NY
08/2006 - 12/2012
WACHOVIA SECURITIES, LLC
CRD# 19616
NEW YORK, NY
07/2003 - 07/2006
PRUDENTIAL SECURITIES INCORPORATED
CRD# 7471
NEW YORK, NY
10/2002 - 07/2003
This ends the information from FINRA’s website.
Call Soreide Law Group, a Securities Arbitration Law Firm, for a free consultation with an attorney on how to potentially recover your investment losses at 888-760-6552.
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