Broker Investigation: James Kujawski

James Kujawski (CRD#: 2075543) is a registered broker and investment advisor employed at Ameriprise Financial Services in Annapolis, Maryland. Mr. Kujawski has been employed at this brokerage firm since March of 2018. Previously, this broker was also associated with UBS Financial Services (2009-2018) in Maryland.

On April 24th, 2018, the Financial Industry Regulatory Authority (FINRA) launched an investigation into James Kujawski. This investigation relates to his time at UBS Financial Services. Specifically, investigators are reviewing allegations that this broker violated industry rules by engaging in undisclosed private securities transactions.

Employment Separation After Allegations of Misconduct: James Kujawski

In February of 2018, UBS Financial Services discharged James Kujawski for his alleged failure to disclose certain private securities transactions and other outside business activities. Under FINRA rules, brokers are required to disclose private securities transactions to their brokerage firms. They are also then required to seek approval for these transactions before carrying them out. The failure to do so is selling away, which is conduct that can put investors at serious risk.

FINRA is actively investigating the allegations of selling away that have been raised against James Kujawski. In addition, there is pending legal action in a Maryland state court that alleges that this broker made material misrepresentations to investors in the course of conducting the private undisclosed securities transactions that are now being reviewed by FINRA.

Contact Our FINRA Arbitration Attorneys

At Sonn Law Group, our FINRA lawyers have deep experience representing investors who sustained losses in private securities transactions. If you lost money due to a broker ‘selling away’, we can help. Contact our law firm today for a risk free review of your claim.

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