FINRA Alleges Brooklyn Brokerage Bilked Polish Community

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The Financial Industry Regulatory Authority has charged Roman Sledziejowski, President and owner of Brooklyn, NY-based brokerage firm TWS Financial, LLC, with securities fraud involving more than $4 million. Sledziejowski allegedly converted client funds to his personal use and covered up the scheme by providing falsified account statements to his clients.

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Published In: Wills, Trusts, & Estate Planning Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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