Diana Stamborski Was Sanctioned for Engaging in Outside Activity

Diana Stamborski

Public records published by the Financial Industry Regulatory Authority (FINRA) on May 28, 2017 indicate that former Illinois-based LaSalle St. Securities broker/adviser Diana Stamborski, also known as Diana Rulle, has been sanctioned by FINRA and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Stamborski (CRD# 1240581).

Diana Stamborski has spent 28 years in the securities industry and was most recently registered with LaSalle St. Securities in Palatine, Illinois (1995-2014). Previous registrations include Foundation Investors Securities Corporation; RD Kushnir & Company in Northbrook, Illinois; Whytecliffe Securities; La Salle St. Securities; Brook Investments; and Francis Manzo & Company. She is currently not registered with any state or firm.

According to her BrokerCheck report, she has received one FINRA sanction and one customer complaint.

In February 2017 FINRA sanctioned her following allegations she engaged in an outside business activity without providing proper written notice to her member firm. FINRA’s findings state further: “Stamborski and her direct supervisor were involved in a financing and factoring company owned by Stamborski’s husband, who was also both registered with the firm and supervised by the same person who supervised Stamborski. The husband’s company among other things facilitated commercial financing to a variety of businesses. Based on a recommendation made by Stamborski’s supervisor at the firm, a large, religiously-affiliated institutional customer began providing funds to finance deals arranged by the outside business owned by Stamborksi’s husband. Stamborski received approximately $3,800 in compensation from her husband’s company related to the customer’s financing activities which was a portion of the finder’s fees paid to her supervisor when the firm customer provided funds to participate in deals through her husband’s company. The findings also stated that Stamborski failed to make required disclosure of this outside business activity in response to the firm’s annual compliance questionnaires.” She was issued a 2-month suspension and a fine of $5,000.

In 2015 a customer alleged Diana Stamborski, while employed at LaSalle St. Securities, recommended unsuitable investments. The complaint settled in April 2017 for $10,000.

If you or someone you know has a complaint regarding Diana Stamborski, also known as Diana Rulle, 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.