Christopher Kozak – Broker, Financial Advisor Christopher Kozak Suspended from Securities Industry

Christopher Kozak – Broker, Financial Advisor Christopher Kozak Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses

Christopher Kozak CRD #5530806

Christopher Kozak was a formerly licensed financial advisor with Cetera Advisors LLC.

According to FINRA Allegations:

Christopher Kozak consented to the sanctions and to the entry of findings that Christopher Kozak engaged in an undisclosed outside business activity when he did not provide written or other notice to his member firm of his outside business activity with a company until, after FINRA inquired about the company. The findings stated that at the request of another registered representative, Christopher Kozak conducted due diligence on behalf of the company towards its potential acquisition of another company’s assets. At that time, Christopher Kozak learned that their firm’s customers had invested a total of $530,000 in the other company at the solicitation of the other registered representative, without disclosing those transactions to their firm. The company purchased the other company’s assets and Christopher Kozak served as the company’s chief operating officer, running its day-to-day operations and was primarily responsible for managing the company. The company is still in operation however, Christopher Kozak ceased to function as a chief operating officer and has not held any other position in this company since that time. Approximately $300,000 of the firm customers’ original investments have not been repaid. The findings also stated that on an annual compliance questionnaire that Christopher Kozak completed, Christopher Kozak falsely stated that Christopher Kozak was in compliance with the firm’s prohibition against engaging in outside business activities without giving prior notice and obtaining approval.

Goodman & Nekvasil, P.A. May Recover Investor Losses:

If you lost money on investments with Christopher Kozak and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Christopher Kozak’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Christopher Kozak and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us. 

Christopher Kozak, Financial Advisor, Broker, Fraud, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, SEC, Christopher Kozak

Contact Us Today!

[]
1 Step 1
keyboard_arrow_leftPrevious
Nextkeyboard_arrow_right
FormCraft - WordPress form builder