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John Gutowsky Allegedly Engaged in Negligence

John Gutowsky (CRD #: 3089973), a broker registered with Osaic Wealth, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on October 4, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations

On September 23, 2024, an investor alleged that John Gutowsky engaged in negligence and breached his fiduciary duty. The investor is seeking $400,000. 

Negligence

Many types of broker misconduct may qualify as negligence. Typical examples include unsuitable investment recommendations, misrepresentations or omissions of material fact, and failure to follow instructions.

Investors who believe their losses are the result of broker negligence may be able to recover their funds through FINRA arbitration.

Background Information 

John Gutowsky has passed the following exams:

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

He is a registered investment adviser in Minnesota and is a registered broker in 11 states.

During his 26 years of experience, John Gutowsky has registered with the following firms: 

  • Osaic Wealth (CRD #: 23131) 
  • Sagepoint Financial (CRD #: 133763) 
  • Cetera Advisors (CRD #: 10299) 
  • LPL Financial (CRD #: 6413) 
  • Eagle One Investment (CRD #: 45254) 
  • Financial Network Investment Corporation (CRD #: 13572) 
  • Pruco Securities Corporation (CRD #: 5685) 

Kurta Law Can Help 

If you worked with John Gutowsky and you 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.

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