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.
FRANCISCO M GOMEZ (FRANCISCO MANUEL GOMEZ, FRANK GOMEZ) has been suspended by FINRA from acting as a broker with a start date of 4/6/2026. The “Regulatory” disclosure was dated 3/13/2026. The allegations against Gomez were, “Respondent Gomez failed to respond to FINRA requests for information.” The duration of the suspension was listed as, “Continues until […]
Investors apparently complained about securities broker Gianpaolo Bicego (also known as Paolo Bicego) [CRD: 5211610, Beverly Hills, California], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gianpaolo Bicego worked for J.P. Morgan Securities LLC from February 17, 2010, through October 25, 2023, and has been registered with Wells Fargo Clearing […]
Investors may have suffered financial harm by securities broker Daniel Malcolm Makin [CRD: 4367894, Westerly, Rhode Island], given the disclosures on FINRA BrokerCheck. Makin worked for Raymond James Financial Services Inc. from March 21, 2001, to September 30, 2025. Investors should read below to review the disclosures reported on his record. Raymond James Investor Accused […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com