Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 8, 2018 indicate that Illinois-based Sigma Financial Corporation broker/adviser Harvey Kaluzna has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kaluzna (CRD# 2073577).
Harvey Kaluzna has spent 27 in the securities industry and has been registered with Sigma Financial Corporation in Northbrook, Illinois since 2006. Previous registrations include FSC Securities Corporation in Northbrook, Illinois (2004-2006) and Securian Financial Services in St. Paul, Minnesota (1990-2004). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 12, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 18, 1990; Series 7 (General Securities Representative Examination), which he obtained on May 2, 2000; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 8, 1990. He is a registered broker and investment adviser with ten US states and territories: California, Florida, Illinois, Indiana, Nebraska, New York, Oklahoma, Texas, Virginia and Wisconsin. He is registered with two self-regulatory organizations (SROs): FINRA and the Nasdaq Stock Exchange.
According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.
In October 2017 a customer alleged Harvey Kaluzna, while employed at Sigma Financial Corporation, misrepresented and recommended unsuitable investments in real estate securities and unit investment trust products. The customer is seeking unspecified damages in the pending complaint.
In 2016 a customer alleged Harvey Kaluzna, while employed at Sigma Financial Corporation, misrepresented material facts, breached contract, and acted negligently in connection to real estate investment trust products. The complaint settled in June 2017 for $15,000.
If you or someone you know has a complaint regarding Harvey Kaluzna, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.