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James Blaszyk Subject of a Suitability Investor Dispute

James Blaszyk (CRD #: 5364851), a broker registered with Wells Fargo Clearing Services, is the subject of an investor dispute. This dispute appears on his BrokerCheck record, accessed on December 18, 2023. Keep reading if you have questions regarding his alleged conduct. 

On November 20, 2023, an investor alleged that James Blaszyk recommended unsuitable investments. The investor is seeking $400,000. 

What is an Unsuitable Investment?

FINRA Rule 2111 requires brokers to evaluate whether an investment strategy fits their investor’s financial goals. Brokers must examine the investor’s profile, which contains the following investor characteristics:

  • Age
  • Risk tolerance
  • Time horizon (i.e., how long the investor plans to hold the investment)
  • Investing experience
  • Tax status
  • Financial goals

Investors who rely on brokers for recommendations may be able to recover losses from unsuitable investment recommendations by pursuing FINRA arbitration.

Background Information 

James Blaszyk has passed the following exams: 

  • Series 66 Uniform Combined Series 66 Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination

He is a registered broker in 19 states and is an investment adviser in Florida and Texas. 

During his 15 years of experience, he has registered with the following firms: 

  • Wells Fargo Clearing Services (CRD #: 19616) 
  • Ameriprise Financial Services (CRD #: 6363) 

Kurta Law Can Help 

If you have worked with James Blaszyk and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or 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.

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