Oskar Kowalski—Refusal to Provide Documents and Information during the Course of an Investigation into Potential Sales Violations
Oskar 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 Wolf Carr & Kane Securities Lawyers Often Assist Investors
The Peiffer Wolf Carr & Kane 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 Wolf Carr & Kane, Jason Kane or Joe Peiffer, for a free, no-obligation evaluation of their recovery options, at (585) 310-5140.