Donald Kowalsky Investigation
April 2023- Atlanta, GA
The FINRA records of Donald Kowalsky , a Cambridge Investment Research, Inc. broker discloses 3 prior customer disputes and a pending customer dispute.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In FINRA arbitration 14-02957, a customer of Mr. Kowalsky’s former employer, Questar Capital Corporation, alleged violation of common law fraud, breach of fiduciary duty, failure to supervise and negligence. The case was settled for $50,000.
In FINRA arbitration 12-02863, another customer of Questar Capital Corporation, alleged breach of contract, breach of fiduciary duty, failure to supervise, negligence and gross negligence, misrepresentations and omissions, violations of FINRA rules, and Georgia and Federal Securities laws. The case was settled for $37,500.
In FINRA case #21-02132, a Questar Capital Corporation customer, alleges that Kowalsky made unsuitable recommendations of illiquid and risky REITs. The alleged damages are $52,000. The case is currently pending.
Kowlasky has been with Cambridge Investment Research, Inc. since December of 2015. Before that time he was with Questar Asset Management and Questar Capital Corp. He discloses associations with Kowalsky Tax & Financial Counseling.
If you have losses in an account handled by Donald Kowalsky , contact us for a no charge consultation to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney, at no cost to you.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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