Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Szczepan Kosmaczewski (Kosmaczewski), previously associated with Phx Financial, Inc., has at least one disclosable event. These events include one tax lien, alleging that Kosmaczewski recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on February 25, 2025.
Without admitting or denying the findings, Kosmaczewski consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation that originated from its examination of his member firm and a resulting investigation into the recommendations of securities transactions at the firm.
