Roger Kliminski (CRD #: 722960), an investment adviser registered with Global Investment Solutions, is facing an investor allegation that he breached his fiduciary duty, according to his IAPD record, accessed on December 31, 2020.
On November 5, 2020, an investor alleged that Kliminski breached his fiduciary duty by recommending an unsuitable investment for their risk tolerance. (Want to know more about your investment adviser’s fiduciary duty? Read: “Is My Financial Advisor a Fiduciary?”) The investor is seeking $484,011; the dispute is pending.
Roger Kliminski has passed the Series 65 Uniform Investment Adviser Law Examination. He is a registered investment adviser in California, Colorado, Indiana, Texas, and Washington.
During his 23 years in the securities industry, Kliminski has only worked with Global Investment Solutions (CRD #: 133850).
If Roger Kliminski was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email email@example.com for a free case consultation with a securities attorney.