Last Updated: June 2024 (Overland Park, KS)
John C. Kauzlarich Investigation Summary
Here’s what you need to know about Overland Park, KS stockbroker John C. Kauzlarich:
- Name: John C. Kauzlarich
- Current Employer: Park Avenue Securities
- Former Employer: Northwestern Mutual Investment Services
- DBA: Guardian Kansas City Agency
- Function: Stockbroker / Financial Advisor
- Primary Location: Overland Park, KS
- CRD Number: 5096866
- Can John C. Kauzlarich be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Terminated by a Prior Employer: Yes
- Pending Customer Dispute Seeks Damages of: $462,000
If you’ve sustained damages from Mr. Kauzlarich, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With John C. Kauzlarich As Your Stockbroker?
IN 5/2024 a customer of Park Avenue Securities filed a FINRA arbitration seeking damages of $462,000. The customer alleges that John Kauzlarich provided inaccurate information when the client wanted to move their account investments to cash. The client was told it could not be done because the line of credit collateralized with the account did not permit holding cash. The client also alleges that a request to change the risk model to a more conservative one was not processed. This case is currently pending.
In 2008, Kauzlarich was “Permitted to Resign” by Northwestern Mutual who alleges that Kauzlarich admitted to knowingly submitting an application with false information on it.
Allegations of Broker Misconduct Against John C. Kauzlarich
Allegations
Customers of John C. Kauzlarich have alleged the following wrongdoing in connection with the handling of customer accounts:
- Inaccurate information regarding account investments
- Failure to process risk model change
[LEARN MORE]: Firms Have a Duty to Supervise their Financial Advisors (FINRA Rules 3110 & 2090)
Brokers and their firms have a duty to comply with the FINRA suitability rule which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer.
[LEARN MORE]: FINRA Rule 2111- suitability -Regulation Best Interest
Recover Your Investment Losses Now With Rex Securities Law
[LEARN MORE]: Investigations of other Park Avenue Securities brokers
If you have suffered investment losses in an account handled by John C. Kauzlarich, contact us for a complimentary consultation with an experienced 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.
