Public records provided by the Financial Industry Regulatory Authority (FINRA) on January 16, 2017 indicate that former Florida-based Newbridge Securities broker Steven Wisniewski has been sanctioned by FINRA and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wisniewski (CRD# 2068119).
Steven Wisniewski has spent 25 years in the securities industry and was most recently registered with Newbridge Securities in Boca Raton, Florida (2015-2016). Previous registrations include Cambridge Investment Research in Phoenixville, Pennsylvania; Ridgeway & Conger in New Woodstock, New York; JP Turner & Company in Phoenixville, Pennsylvania; Raike Financial Group in Woodstock, Georgia; Sunpoint Securities in Longview, Texas; Delta Equity Services in Bolton, Massachusetts; HJ Meyers & Company, which has since been expelled by FINRA, in New York, New York; LC Wegard & Company in New York, New York; and Hibbard Brown & Company, which has since been expelled by FINRA, in New York, New York. He is currently not registered with any state or firm.
According to his BrokerCheck report, Steven Wisniewski has received two customer complaints and one regulatory sanction.
In 2016 FINRA sanctioned Steven Wisniewski following in connection to allegations he “he signed a customer’s name on three account documents without her authorization” and additionally forged her initials on three documents. Mr. Wisniewski was suspended for three months and issued a fine of $5,000.
In 2015 a customer alleged Steven Wisniewski, while employed at JP Turner & Company, Ridgway & Conger, and Cambridge Investment Research, churned investments, made material misrepresentations related to certain investments, effected unauthorized trades, acted negligently, and forged a signature or signatures. The complaint settled for February 2016 for $25,000.
In 1994 a customer alleged Steven Wisniewski, while employed at Hibbard Brown & Company, manipulated investments, misrepresented material facts, and made unauthorized investments. The complaint resulted in an award to the customer of $8,713.
If you or someone you know has lost money investing with Steven Wisniewski, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.