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Brian Pavelko Allegedly Made Misrepresentations Regarding Private Placements

Brian Pavelko (CRD #: 6347352), a broker registered with Ni Advisors, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on October 24, 2024. Keep reading if you have questions concerning his alleged conduct. 

FINRA Investigation

On September 10, 2024, FINRA announced an investigation into Brian Pavelko. This followed a preliminary determination to recommend disciplinary action following allegations that he made material misrepresentations and omissions and engaged in a deceptive scheme in connection with private placement offerings. 

Misrepresentation 

FINRA Rule 2020 prohibits the use of deceptive, manipulative, and otherwise fraudulent methods to influence the purchase and sale of securities. The misrepresentation or omission of material facts violates this rule.

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 2020 also violate this rule. 

Background Information 

Brian Pavelko has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

He is a registered broker in Ni Advisors. 

During his eight years of experience, Brian Pavelko has registered with four firms: 

  • Ni Advisors (CRD #: 134502) 
  • SW Financial (CRD #: 145012) 
  • Democracy Funding (CRD #: 122804) 
  • Coastal Equities (CRD #: 23769) 

Kurta Law Can Help 

If you worked with Brian Pavelko and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.