FINRA, the Financial Industry Regulatory Authority, alleges Roman Sledziejowski, the Polish president and owner of TWS Financial, LLC, in Brooklyn, N.Y., used customer funds for his own use and gave false statements to clients from June, 2009, through August, 2012.
FINRA alleges Sledziejowski defrauded three Polish customers of more than $4 million by taking money out of their accounts, and in other cases, having them transfer funds that he said would be invested in a Polish vodka company. Mr. Sledziejowski refused to testify and cooperate with FINRA.
Sledziejowski told one client that his funds were being put into a Polish bank and the stock of a Polish vodka maker, but no such investments were ever made. Two other customers said they didn't authorize the wire transfers that he made from their accounts to Innovest Holdings, LLC, which Sledziejowski controlled.
“In order to mask his misconduct, Sledziejowski provided customers with falsified account statements or 'account snapshots,' which were fictional accounts of their holdings in their TWS brokerage accounts or the values of those accounts,” FINRA said.
Sledziejowski was previously registered with Wachovia Securities LLC, Prudential Securities Inc. and Salomon Smith Barney Inc., according to FINRA's BrokerCheck. TWS Financial filed to withdraw its broker-dealer registration on Nov. 9th.
If you have invested with Roman Sledziejowki, TWS Financial, LLC, or Innovest Holdings, LLC, and experienced financial losses, call and speak at no charge to a securities attorney who may potentially help you recover those losses. Call: 888-760-6552, or visit our website at: https://www.securitieslawyer.com.
Soreide Law Group, PLLC, representing investors nationwide before FINRA the Financial Industry Regulatory Authority.
Investors potentially experienced sales practice violations by securities broker Russell Glenn Bedore [CRD: 4729849, Deerfield Beach, Florida], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Bedore has been registered with LPL Financial LLC since May 14, 2026, and previously worked for J.P. Morgan Securities LLC from July 15, 2013, through May 15, […]
Investors might have sustained losses due to securities broker Matthew James Kloos [CRD: 7292988, Monroeville, Pennsylvania], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Matthew Kloos worked for Cetera Investment Services LLC from February 21, 2024, to April 23, 2026, and previously worked for Mutual of Omaha Investor Services Inc. from August […]
Investors potentially experienced sales practice violations by securities broker Melissa Star Williams (also known as Melissa Star Bortfeld, Melissa Starr Williams, Melissa Williams Frasca) [CRD: 4298503, Spokane, Washington], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Williams worked for Centaurus Financial Inc. from August 28, 2015, through March 14, 2024, before registering with […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com