Scott Kozak – Pending Investigation by FINRA against Financial Advisor, Broker Scott Patrick Kozak | Goodman & Nekvasil P.A., May Recover Losses
Scott Kozak(Scott Patrick Kozak) CRD #1272583
Scott Kozak was previously registered with Cetera Advisors LLC in Highlands Ranch, Colorado. FINRA has made a preliminary determination to recommend that disciplinary action be brought against Scott Kozak for potential violations of: engaging in (i) private securities transactions in violation of NASD Rule 3040 and FINRA Rules 3280 and 2010; and (ii) outside business activities in violation of FINRA Rules 3270 and 2010, for the period July 2011 to March 2017, without prior notice to or approval from his member firm, Cetera Advisors LLC.
According to Scott Kozak’s CRD, Scott Kozak was discharged by Cetera Advisors on July 23, 2018. Cetera Advisors LLC reported that Scott Kozak allegedly violated firm policy prohibiting Personal Securities Transactions.
Goodman & Nekvasil, P.A. May Recover Investor Losses
If you lost any money on investments with Scott Kozak, you may be able to recover your losses. If you lost money on investments with Scott Kozak and believe that 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 Scott 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.
Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Scott 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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