Christopher Kozak – Financial Advisor/Broker Christopher Kozak Under Investigation by FINRA | 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:
The December 12, 2018 Wells Notice letter identifies potential violations including, violation of NASD Rule 3040 and FINRA Rules 3280 and 2010 regarding private securities transactions, FINRA Rules 3270 and 2010 regarding outside business activities, and FINRA Rule 2010 regarding allegedly false statements to Cetera regarding personal securities transactions and outside business activities.
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.
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