SCOTT PATRICK KOZAK (SCOTT KOZAK) CRD#: 1272583, according to FINRA’s BrokerCheck, was discharged from Cetera Advisors LLC of Highlands Ranch, Colorado on July 23, 2018 following allegations of “Violating firm policy prohibiting Personal Securities Transactions.” Scott Kozak worked as a registered representative with Cetera Advisors LLC in Highlands Ranch, Colorado, from 2001 until he was terminated in July of 2018.
A FINRA investigation began in May of 2018. The following information is from Kozak’s BrokerCheck report: “Wells Notice Investigation #20170530172: FINRA has made a preliminary determination to recommend that disciplinary action be brought against 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.”
Kozak has 6 Disclosures on his CRD report. Of the 6 Disclosures, 4 are Customer Complaints from 2004 to 2008. One case settled for $27,500 and another was awarded $51,750.
According to FINRA’s BrokerCheck, Scott Kozak has been in the securities industry for 19 years and was listed with 3 firms, the most recent is listed below:
07/18/2001 - 08/02/2018 CETERA ADVISORS LLC - HIGHLANDS RANCH, CO
Remember, according to FINRA rules, the member firms are responsible for supervising their brokers while they are registered with the firm. It is possible that the firm could be liable for the losses incurred by the broker's clients.
If you were a client of former CETERA ADVISORS of HIGHLANDS RANCH, CO, broker SCOTT KOZAK, and experienced financial losses due to his actions or recommendations, contact Soreide Law Group and speak to a securities lawyer regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents clients nationally before FINRA. We operate on a contingency fee basis—no fee to you if no recovery.
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