Investor Alleges Brian Ruziecki Failed to Inform Her About Annuity Contract

Brian Ruziecki (CRD #: 5929664), a broker registered with Wells Fargo Clearing Services, was recently the subject of an investor dispute, according to his BrokerCheck record, accessed on January 10, 2023. If you have questions about his alleged conduct as a broker, read on.

Investor Dispute

On October 13, 2022, an investor alleged Brian Ruziecki failed to inform her that her annuity contract had a term of 5 years. The investor alleged that he failed to disclose this information between March 15, 2021, and the date of dispute filing. The firm denied this dispute.

Investors should be aware, however, that firms don’t need to permit an outside review before denying a dispute. Investors may be able to recoup their losses by seeking out FINRA arbitration after a denial.

FINRA Rule 2020

FINRA Rule 2020 forbids the use of deception, manipulation, and other fraudulent methods to influence the purchase or sale of securities. This includes the misrepresentation or omission of information, such as an investment’s requirements, limitations, or potential returns.

Background Information

Brian Ruziecki has passed the following exams:

• Series 65 – Uniform Investment Adviser Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination
• Series 6 – Investment Company Products/Variable Contracts Representative Examination

Brian Ruziecki is a registered broker in 12 states and a registered investment adviser in California and Texas.

Kurta Law Can Help

If you worked with Brian Ruziecki and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and 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.