Oskar Kowalski—Refusal to Provide Documents and Information during the Course of an Investigation into Potential Sales Violations

investment fraud attorneysOskar Kowalski Allegedly Refused to Provide Documents and Information during the Course of an Investigation into Potential Sales Practice Violations

Oskar Kowalski allegedly refused to provide documents and information during the course of an investigation into potential sales practice violations, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC).

Oskar R. Kowalski was a financial advisor and registered representative of E.J. Sterling from October 2014 to October 2015, and also with Meyers Associates from March 2014 to October 2014, the AWC also reports.

Oskar Kowalski Barred by FINRA for Alleged Failure to Respond to a FINRA Regarding Potential Sales Practice Violations

Oskar Kowalski, starting on August 6, 2015, and during the course of an investigation into potential sales violations, received a letter from FINRA requesting that he provide documents and information, the AWC reports.

Oskar Kowalski also received additional requests from FINRA, but failed to respond, and, as a result, has been barred by FINRA from any from associating in any capacity with any FINRA member for alleged failure to respond to a FINRA investigation regarding potential sales practice violations, according to a recent FINRA AWC.

One should also note that, according to the AWC, Oskar Kowalski accepted and consented, without admitting or denying the FINRA findings.

The Peiffer Rosca Wolf Securities Lawyers Often Assist Investors

The Peiffer Rosca Wolf securities lawyers assist investors who lose money as a result of alleged   potential sales practice violations. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of potential sales practice violations are encouraged to contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free, no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1225 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.