DAVID THOMAS PAWLOSKI is currently employed as a Broker and/or Investment Adviser at CANTELLA & CO., INC. located at 3 Harding Road, Suite C, Red Bank, NJ, 07701.
DAVID THOMAS PAWLOSKI has worked at CANTELLA & CO., INC. since January 12, 2018
DAVID THOMAS PAWLOSKI has 5 Disclosure Event(s).
Date: May 25, 2017 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT UNAUTHORIZED AND UNSUITABLE INVESTMENTS WERE MADE IN THE ACCOUNT. NO SPECIFIC TIME PERIOD, BUT THE CLIENT MENTIONS FEB 2017 - APRIL 2017 Damage Amount Requested: $120,000.00 Settlement Amount: $60,000.00
Date: August 01, 2016 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT REGISTERED REPRESENTATIVE RECOMMENDED UNSUITABLE SECURITIES AND CHARGED EXCESSIVE FEES AND COMMISSIONS, FROM 3/1/2014 TO 8/31/2015. Damage Amount Requested: $250,000.00 Settlement Amount: $20,000.00 Broker Comment: CLAIM AGAINST FA WAS DISMISSED. FA NOT ASKED TO CONTRIBUTE TOWARD SETTLEMENT.
Date: August 22, 2014 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT THE FINANCIAL ADVISOR DID NOT FOLLOW HIS INSTRUCTIONS TO SELL A SECURITY DURING APRIL 2014. Damage Amount Requested: $11,000.00
Date: September 09, 1999 Category: Customer Dispute Allegations: CLIENT ALLEGES PAINEWEBBER MISREPRESENTIED THE VALUE AND FINANCIAL OUTLOOK OF CAPSTEAD MORTGAGE AT THE TIME OF 01/08/1998 PURCHASE. Damage Amount Requested: $31,000.00 Settlement Amount: $15,000.00
Date: October 14, 1993 Category: Customer Dispute Allegations: ALLEGATIONS CONCERNING INVESTMENT RATIONALFOR PURCHASE & SALE RECOMMENDATIONS. ALLEGED LOSSES OF $23K. Damage Amount Requested: $23,000.00 Damages Granted: $500.00 Broker Comment: ARBITRATION PANEL AWARDED CLAIMED CUSTOMER$500 PAYABLE BY SHEARSON LEHMAN BROS. INC.I DENY ANY WRONGDOING OF BLAME. IT WAS SHOWNDURING THE PROCEEDINGS THAT CUSTOMER DID BUSINESS IN HISLEHMAN BROTHERS ACCOUNT FIRST LIKE ALL OF HIS OTHER MANYACCOUNTS. THE PANEL DEEMED HIS ACCUSATIONS AS UNTRUE. THE$500.00 SETTLEMENT WAS TO COVER HIS ADMINISTRATIVE & PAPERWORKCOSTS. THIS SETTLEMENT WAS PAID FOR BY LEHMAN BROTHERS & ICONTRIBUTED NO MONEY TO THE SETTLEMENT.
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