Last Updated: October 2023 (Red Bank, NJ)
David Pawloski Investigation Summary
Here’s what you need to know about Red Bank, NJ, stockbroker David Pawloski:
- Name: Mr. David Thomas Pawloski
- Current Employer: Dominari Securities
- Previous Firms: J. Alden Associates, Cantella & Co., Oppenheimer & Co.
- Function: Stock Broker/ Financial Advisor
- Aliases: Dave Pawloski
- Primary Location: Red Bank, NJ
- CRD 1438717
- Can Dave Pawloski be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement or Award: $60,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With David Pawloski As Your Stockbroker?
Dave Pawloski discloses 6 prior customer complaints on his FINRA record, including:
- In 2017 a customer of Oppenheimer & Co. was paid $60,000 to resolve allegations that Pawloski made unauthorized trades and unsuitable investment recommendations.
- Another Oppenheimer customer was paid $20,000 to resolve allegations that Dave Pawloski recommended unsuitable securities and charged excessive fees.
Allegations of Broker Misconduct Against David Pawloski
Customers of Dave Pawloski have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendations
- Unauthorized Trading
- Charged Excessive Commissions
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Dave Pawloski, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
