Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Czubek (Czubek), currently associated with Associated Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Czubek recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $31,859.80 on September 30, 2025.
The client alleged that, following a meeting in May 2025 in which the parties reportedly agreed to change the investment strategy for the client’s variable annuity by updating the underlying asset allocation, the registered representative failed to implement the agreed-upon changes. The client further alleged that this failure was discovered in September 2025 during an account review and sought compensation for purported lost investment returns since May 2025, citing the market increase during that period and the delay in implementing the new strategy.