- November 16, 2019
- Cetera Advisors LLC
Christopher Kozak (CRD # 5530806) was a Financial Advisor at Cetera Advisors LLC in Highlands Ranch, CO. Christopher Kozak has been in the securities industry since 2008 and previously worked at Cambridge Investment Research, Inc.
According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on November , 2019, FINRA suspended Christopher Kozak for six months for allegedly engaging “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.”
For a copy of Christopher Kozak’s FINRA sanction click https://www.finra.org/sites/default/files/fda_documents/2017053017201%20Christopher%20Kozak%20CRD%205530806%20AWC%20jm.pdf.
For a copy of Christopher Kozak’s CRD, click https://brokercheck.finra.org/individual/summary/5530806#disclosuresSection.
Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives. Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients. To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.
The Wolper Law Firm represents investors nationwide in securities litigation and arbitration on a contingency fee basis. Matt Wolper, the Managing Principal of the Wolper Law Firm, is a trial lawyer who has handled hundreds of securities cases during his career involving a wide range of products, strategies and securities. Prior to representing investors, he was a partner with a national law firm, where he represented some of the largest banks and brokerage firms in the world in securities matters. We can be reached at 800.931.8452 or by email at mwolper@wolperlawfirm.com.
Attorney Matthew Wolper
Matt Wolper is a trial lawyer who focuses exclusively on securities litigation and arbitration. Mr. Wolper has handled hundreds of securities matters nationwide before the Financial Industry Regulatory Authority (FINRA), American Arbitration Association (“AAA”), JAMS, and in state and federal court. Mr. Wolper has handled and tried cases involving complex financial products and strategies ranging from traditional stocks and bonds to options, margin and other securities-based lending products, closed/open-end mutual funds, structured products, hedge funds, and penny stocks. [Attorney Bio]