Investors potentially experienced sales practice violations because of securities broker Stephen Chester Kiszlowski (also known as Steve Kiszlowski) [CRD: 2440000, Grosse Pointe Woods, Michigan], according to disclosures on FINRA BrokerCheck. It appears that Kiszlowski worked for Center Street Securities Inc. from October 29, 2018 to March 9, 2023, and for Independence Capital Co. Inc. from January 3, 2007 to January 17, 2019. Read on to learn more about the disclosures involving this securities broker.
Particularly, an Independence Capital Co. Inc. client filed FINRA Arbitration No. 24-01244 about Stephen Kiszlowski. Specifically, the client alleged that Kiszlowski made unsuitable recommendations. Because of this, the client allegedly experienced damages relating to asset-backed bonds. So, on August 23, 2024, Independence Capital Co. Inc. settled this matter by paying the client $30,000.00 in damages.
Also, a client of Independence Capital Co. Inc. disputed Stephen Kiszlowski’s sales practices by filing FINRA Arbitration No. 15-02187. Allegedly, Kiszlowski engaged in discretionary trading. It appears that Kiszlowski caused the client to sustain damages connected to municipal bonds and stocks. Consequently, FINRA Arbitrators issued an Award dated November 21, 2016 to the client in the amount of $875,000.00.
Do you have concerns or questions regarding investments involving Stephen Kiszlowski? If so, contact Soreide Law Group online or at (888) 760-6552 and talk with a securities lawyer. For years, Soreide Law Group has recouped losses for investors throughout the USA. Also, the firm takes investor cases on a contingency fee basis and advances the costs. Kiszlowski and brokerage firms Kiszlowski worked for deny allegations of sales practice violations.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
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