JAMES GEORGE WITKOWSKI is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 1135 W. KANSAS ST, LIBERTY, MO, 64068.
JAMES GEORGE WITKOWSKI has worked at CETERA ADVISORS LLC since December 10, 2009
JAMES GEORGE WITKOWSKI has 2 Disclosure Event(s).
Date: May 25, 2010 Category: Customer Dispute Allegations: CLIENT ALLEGES REPRESENTATIVE DID NOT INFORM HER OF POTENTIAL VOLATILITY AND LOSSES IN HER MUTUAL FUND PURCHASE. Damage Amount Requested: $5,820.31 Broker Comment: THE CLIENT'S ALLEGATIONS ARE WITHOUT MERIT AND I DISAVOW THEM IN THEIR ENTIRETY. I APPRISED THE CLIENT OF POTENTIAL VOLATILITY AND MARKET LOSS OVER TWO APPOINTMENTS DURING THE INITIAL INVESTMENT. [CUSTOMER] RECEIVED A PROSPECTUS FROM ME AND FROM EDWARD JONES WHICH DETAILED THE PROPERTIES OF THESE MUTUAL FUNDS. ANY LOSSES SHE INCURRED WERE THE CONSEQUENCE OF [CUSTOMER] LIQUIDATING LONG TERM INVESTMENTS PREMATURELY.
Date: October 30, 2009 Category: Employment Separation After Allegations Firm Name: EDWARD JONES Termination Type: Discharged Allegations: WITKOWSKI'S EMPLOYMENT WAS TERMINATED FOR UNAUTHORIZED ACCOUNT ACTIVITIES AND FAILING TO REPORT A CLIENT COMPLAINT TO THE FIRM. THESE ISSUES WERE SIMILAR TO COMPLIANCE CONCERNS INVOLVING WITKOWSKI IN 2006, WHEREBY THE FIRM HAD PLACED HIM ON HEIGHTENED SUPERVISION AND HE PAID A FINE IN THE AMOUNT OF $2000.
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