Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 19, 2018 indicate that former Wisconsin-based Questar Capital Corporation broker/adviser William Kaczmarek has been named in an investigation by state regulatory authorities into alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Kaczmarek (CRD# 1434947).
William Kaczmarek has spent 32 years in the securities industry and was most recently registered with Questar Capital Corporation in Delavan, Wisconsin (2013-2018). Previous registrations include Cetera Advisor Networks in Delavan, Wisconsin (2010-2013); Ameritas Investment Corporation in Elkhorn, Wisconsin (2008-2010); ING Financial Partners in Elkhorn, Wisconsin (2002-2008); New England Securities in New York, New York (2000-2002); Financial Network Investment Corporation in El Segundo, California (1999-2000); SII Investments in Appleton, Wisconsin (1998-1999); H. Beck in Bethesda, Maryland (1998); Harbour Investments in Madison, Wisconsin (1997); WMA Securities in Duluth, Georgia (1994-1997); Harbour Investments in Madison, Wisconsin (1994); Wellington Investment Services Corporation in Brookfield, Wisconsin (1990-1994); and Pruco Securities Corporation in Newark, New Jersey (1985-1990). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 14, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 21, 1986; Series 7 (General Securities Representative Examination), which he obtained on August 9, 1993; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on December 6, 1985; and Series 24 (General Securities Principal Examination), which he obtained on February 14, 1997. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has been named in an investigation by state regulatory authorities and has received three denied customer complaints.
In May 2018 the Wisconsin Department of Insurance initiated an investigation into allegations that he violated state statutes and codes in connection to his “annuity and life insurance sales activity.” The investigation remains pending.
In 2015 a customer alleged William Kaczmarek, while employed at ING Financial Partners, churned investments, recommended unsuitable securities, and misrepresented material facts in connection to annuity and insurance sales. The customer sought unspecified damages in the complaint, which was denied.
In 2013 a customer alleged William Kaczmarek, while employed at Cetera Advisor Networks, did not properly disclose account fees and the surrender charge associated with an annuity. The customers ought $15,000 in damages in the complaint, which was denied.
In 2011 a customer alleged William Kaczmarek, while employed at ING Financial Partners, misrepresented and recommended unsuitable investments. The customer sought unspecified damages in the complaint, which was denied.
If you or someone you know has lost money investing with William Kaczmarek, 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.