Kenneth Wlosek: Two Regulatory Sanctions

Kenneth Wlosek

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 10, 2017 indicate that former New Jersey-based Insight Securities broker Kenneth Wlosek has been suspended by FINRA and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wlosek (CRD# 1271626).

Kenneth Wlosek has spent 29 years in the securities industry and was most recently registered with Insight Securities in Mahwah, New Jersey (2016). Previous registrations include Ridgewood Securities in Montvale, New Jersey; Seward Groves Richard & Wells in Mahwah, New Jersey; Securities America in La Vista, Nebraska; Zoch & Zoch Financial; Monarch Securities; FSC Securities; and Cardel & Associates. He is currently not registered with any state or firm.

According to his BrokerCheck report, Kenneth Wlosek has received two regulatory sanctions and one tax lien, and was discharged from his position at Insight Securities.

In January 2017 FINRA sanctioned him following allegations he “willfully failed to timely disclose or to in fact disclose on his Form U4 five federal tax liens, a state tax lien and a civil judgment that had been filed against him.” FINRA’s findings further stated that Mr. Wlosek “falsely represented to his member firm in a compliance questionnaire that he had reviewed his Form U4 and there was no need to amend his previous responses, including Wlosek’s answer to Question 14M stating that he did not have any unsatisfied judgements and liens.” He was issued a nine-month suspension and a fine of $10,000.

In June 2016 Kenneth Wlosek was terminated from his position at Insight Securities following his alleged “Failure to communicate with Insight Securities, Inc. and failure to respond to Florida Office of Financial Regulation regarding registration.”

In 2015 the State of New Jersey filed a tax lien totaling $485,000 against him. The lien remains outstanding.

In 2000 Kenneth Wlosek was sanctioned by the National Association of Securities Dealers following allegations he “filed quarterly Focus Part IIA reports late”

If you or someone you know has lost money investing with Kenneth Wlosek, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.