Stephen Kowalski is a New Jersey-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 include; Halpert and Company (1989), Municipal Investors Service, Inc. (1989-1990), and Hennion & Walsh, Inc. (1990-Present).
Stephen Kowalski’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career.
In June 2009, a customer alleged that investments in his account were not suitable. This case was settled for $99,000 in damages.
In November 2017, customers alleged that Kowalski purchased unsuitable securities on their behalf. The alleged transgressions taking place between 2012 and 2017. This case is currently pending. The customer is seeking $670,000 in damages.
In January 2018, another customer alleged unsuitable investments. This case is currently pending. The customer is seeking $150,000 in damages.
In February 2018, another customer alleged unsuitable investment recommendations.
In August 2018, a customer alleged that unsuitable securities were recommended to him by Kowalski. The customer also alleged that facts were misrepresented or omitted by Kowalski and allegedly made an unspecified amount of unauthorized trades. This case is currently pending. The customer is seeking $100,000 in 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.