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Sebastian Puznowski Resigns from Equitable Advisors

Sebastian Puznowski (CRD #: 6872054), a broker formerly registered with Equitable Advisors, resigned from that firm, according to his BrokerCheck record, accessed on November 11, 2022. If you have questions about his conduct as a broker, keep reading.

Resignation from Equitable Advisors

On October 12, 2022, Sebastian Puznowski was permitted to resign from Equitable Advisors allegedly following a firm investigation into allegations that he submitted inaccurate annuity applications in order to meet production requirements.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Submitting inaccurate applications would violate this rule. 

Background Information

Sebastian Puznowski has passed the following exams:

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

He previously worked for Equitable Advisors (CRD#:6627).

Kurta Law Can Help

If you worked with Sebastian Puznowski 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. 

 

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