Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Wyzkiewicz (Wyzkiewicz), currently associated with Gwn Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Wyzkiewicz 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 $5,583.95 on May 20, 2022.
ON 5/17/2022 around 2:45pm a client [REDACTED] called rep’s Nicholas Wyzkiewicz’s office and left him a message asking to sell to cash the entire 403B account. The rep received a message after the market hours and submitted the trade immediately that night. The trade was executed as of 5/18 close. On 5/18 market dropped significantly. Client called on 5/18 and requested the rep to pay the difference of $5,583.95 because the rep’s recorded message did not make clear that trades cannot be accepted through voicemail the trade was corrected. Rep corrected the trade and paid the client the difference of $5,583.95