MICHAEL RICHARD KAZINSKI is currently employed as a Broker and/or Investment Adviser at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC located at 534 DELAWARE AVE STE 105, THE BECKER MANSION, BUFFALO, NY, 14202.
MICHAEL RICHARD KAZINSKI has worked at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC since February 18, 2009
Disclosure History
MICHAEL RICHARD KAZINSKI has 3 Disclosure Event(s).
Date: July 09, 2009 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS. Settlement Amount: $44,500.00 09-03952
Date: February 26, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT THE FINANCIAL ADVISOR MISREPRESENTED THE DOWNSIDE RISK. Damage Amount Requested: $8,970.00 Settlement Amount: $1,015.34 Broker Comment: ALTHOUGH WE BELIEVED THAT THIS COMPLAINT HAD NO MERIT AND ON JUNE 2, 2009 AND JULY 21, 2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INC WROTE THE CLIENT TO ADVISE HIM OF SUCH. ON OCTOBER 12, 2009, AS A BUSINESS DECISION, MERRILL LYNCH, PIERCE, FENNER & SMITH INC SETTLED THIS MATTER.
Date: January 21, 1987 Category: Criminal Charges: CHARGED WITH 130.35-1 PL (ONE FELONY COUNT OF RAPE IN THE FIRST DEGREE) Charge Type: FELONY Disposition: THE CHARGE WAS REDUCED TO ATTEMPTED SEXUAL MISCONDUCT, A MISDEMEANOR, NEW YORK STATE PENAL CODE 110-130.20-1 PL. SENTENCED TO ONE YEAR PROBATION AND PAID A $60.00 SURCHARGE. Broker Comment: NOT PROVIDED
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 MICHAEL RICHARD KAZINSKI, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.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.