Kenneth Rudzinski is the Subject of an Energy Investment Dispute

Kenneth Rudzinski (CRD #: 406922), a broker registered with Lincoln Fianancial Advisors Corporation, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on May 2, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On February 16, 2024, an investor alleged that Kenneth Rudzinski recommended an unsuitable oil and gas investment. Energy investments are often unsuitable due to their high risk. The investor is seeking $50,000. 

There is a similar dispute dated May 10, 2024. 

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 

Kenneth Rudzinski has passed the following exams: 

• Series 63 Uniform Securities Agent State Law Examination 
• Series 7TO General Securities Representative Examination 
• SIE – Securities Industry Essentials Examination 
• Series 1 Registered Representative Examination 
• Series 24 General Securities Representative Examination 

He is a registered broker and investment adviser in Florida and Delaware. 

During his 46 years of experience, Kenneth Rudzinski has registered with the following firms: 

• Lincoln Financial Advisors Corporation (CRD #: 3978)
• The Lincoln National Life Insurance Company (CRD #: 2580) 
• Royal Alliance Associates (CRD #: 23131) 
• SMA Equities (CRD #: 3960) 
• Integrated Resources Equity Corporation (CRD #: 6403) 
• Lincoln National Pension Insurance Company (CRD #: 10293) 

Kurta Law Can Help 

If you have worked with Kenneth Rudzinski 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.