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
Disclosure History
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.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for DAVID THOMAS PAWLOSKI, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.