The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Harvey Kaluzna. According to his publicly available FINRA BrokerCheck report, Harvey Kaluzna has been the subject of multiple customer disputes.

Harvey Kaluzna is an Illinois based securities broker. He has worked in the securities industry for twenty-nine years. During his career, he has been registered with three different securities firms.

His Registrations

  • Securian Financial Services (1990-2004)
  • FSC Securities Corporation (2004-2006)
  • Sigma Financial Corporation (2006-Present)

The Allegations

  • In May 2016, a customer alleged that Harvey Kaluzna made material misrepresentations, breached contract, and handled their account negligently in connection with REIT investments. This case was settled for $15,000 in damages.
  • In October 2017, a customer alleged that Harvey Kaluzna made unsuitable investment recommendations, made material misrepresentations, and failed to conduct due diligence. This case was settled for $28,000 in damages.

Oakes & Fosher Can Help

Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages.

Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Harvey Kaluzna, please contact Oakes & Fosher for a free and private consultation.