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Paul Stawinski Permitted to Resign from Lincoln Financial Advisors

Nov 2, 2022 Employment

Paul Stawinski (CRD #: 717063), a broker registered with Purshe Kaplan Sterling Investments, resigned from his previous firm, according to his BrokerCheck record, accessed on October 29, 2022. Investors may have also engaged his services through Summit Financial. Read on to learn more about his conduct as a broker.

Resignation from Lincoln Financial Advisors

On September 2, 2022, Paul Stawinski was permitted to resign from Lincoln Financial Advisors following an internal review and allegations that he allowed his administrative assistant to impersonate a client when on a call with a sponsor company in order to obtain account/contract information for convenience and/or servicing reasons.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Regulatory Action by State of Indiana

On July 27, 2016, the State of Indiana Department of Insurance alleged that Paul Stawinski failed to disclose the following:

  • Monetary penalty issued by New York Department of Financial Services on July 9, 2012
  • Consent order issued by New Jersey Department of Banking and Insurance on January 14, 2013
  • Consent order issued by the Florida Office of Insurance Regulation on July 10, 2013

The State of Indiana Department of Insurance fined Paul Stawinski $750.

Background Information

Paul Stawinski has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 1 – Registered Representative Examination
  • Series 24 – General Securities Principal Examination

Paul Stawinski is a registered broker in 18 states and a registered investment adviser in New Jersey and New York.

He has also worked for the following firms:

  • Lincoln Financial Advisors (CRD#:3978)
  • Ameritas Investment Corporation (CRD#:14869)
  • AXA Advisors (CRD#:6627)
  • Mony Securities Corporation (CRD#:4386)
  • Cadaret, Grant & Company (CRD#:10641)
  • AIG Equity Sales Corporation (CRD#:5967)
  • EQ Financial Consultants (CRD#:6627)
  • The Equitable Life Assurance Society of the United States (CRD#:4039)

Kurta Law Can Help

If you worked with Paul Stawinski 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.