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

Stephen Kowalski is a New Jersey-based securities broker. He has worked in the securities industry for thirty years. During his career, he has been registered with three different securities firms.

His Registrations

  • Halpert and Company (1989)
  • Municipal Investors Service, Inc. (1989-1990)
  • Hennion & Walsh, Inc. (1990-Present)

The Allegations

  • In June 2009, a customer alleged that Stephen Kowalski recommended unsuitable investments. This case was settled for $99,000 in damages.
  • In August 2018, Stephen Kowalski recommended highly unsuitable products, made material misrepresentations and omissions of fact, and executed unauthorized trades. This case was settled for $50,000 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 Stephen Kowalski, please contact Oakes & Fosher for a free and private consultation. Oakes & Fosher handles cases on a contingency basis, which means there are no fees charged unless we collect for you.