Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 5, 2018 indicate that former Maryland-based Ameriprise Financial Services broker/adviser James Kujawski, who has received resolved or pending customer disputes, was recently named in a FINRA investigation into alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Kujawski (CRD# 2075543).
James Kujawski has spent 27 years in the securities industry and has been registered with Ameriprise Financial Services in Annapolis, Maryland since March 2018. Previous registrations include UBS Financial Services in Annapolis, Maryland (2009-2018); Morgan Stanley & Company in Annapolis, Maryland (2007-2009); Morgan Stanley & DW in Annapolis, Maryland (1999-2007); Prudential Securities in New York, New York (1997-1999); Smith Barney in New York, New York (1993-1997); and Lehman Brothers in New York, New York (1990-1993). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 7, 1992; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 21, 1990; Series 31 (Futures Managed Funds Examination), which he obtained on February 29, 2000; and Series 7 (General Securities Representative Examination), which he obtained on August 31, 1990. He is a registered broker and investment adviser in Maryland and the District of Columbia.
According to his BrokerCheck report, he has received four customer complaints and one pending customer complaint, and he was recently named in a FINRA investigation into alleged rule violations.