James Blaszyk: $400K Complaint Against Wells Fargo Advisor

A recent investor complaint against Boynton Beach, Florida financial advisor Jim Blaszyk (CRD# 5364851) alleges that his investment advice resulted in damages of $400,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Wells Fargo Clearing Services.

Mr. Blaszyk’s BrokerCheck report discloses two investor complaints. The most recent, filed in November 2023, alleges that as a representative of Wells Fargo Clearing Services, he recommended unsuitable investments in unspecified products. The pending complaint alleges damages of $400,000.

An earlier investor complaint, filed in 2019, alleged that as a Wells Fargo representative, he misrepresented mutual investments, failed to disclose sales charges that were excessive, and did not diversify investments in the account. The complaint reached a settlement of $4,000.

In a statement included with the complaint’s disclosure, Mr. Blaszyk pushed back against the allegations. “Client was properly advised as to her investments and was provided with numerous opportunities to either sell or cancel trades at no loss,” he wrote, adding: “Nonetheless, the Firm made a business decision to settle this matter. The Financial Advisor did not contribute to this settlement.”

According to the Financial Industry Regulatory Authority, James Blaszyk holds 15 years of securities industry experience. Based in Boynton Beach, Florida, he has been a broker and an investment advisor registered with Wells Fargo Clearing Services since 2008. He was previously registered with Ameriprise Financial Services in Miami, Florida in 2007. His credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Combined State Law Examination, or Series 66. He is licensed in Arizona, California, Colorado, Delaware, Florida, Georgia, Illinois, Maryland, Minnesota, New Jersey, New Mexico, North Carolina, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, and Wisconsin. (Information current as of December 5, 2023.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.