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Former Cetera Advisors Broker, Scott Kozak, Suspended By FINRA For Two Years, For Allegedly Engaging In Private Securities Transactions

March 22, 2020

Scott Kozak (CRD # 1272583) was a Financial Advisor at Cetera Advisors in Highlands Ranch, Colorado. Scott Kozak has been in the securities industry since 1989 and previously worked for Financial West Group. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on March 18, 2020, FINRA sanctioned Scott Kozak, suspending…

Former Network 1 Financial Securities Broker, Raymond Thomas, Is The Subject Of A FINRA Enforcement Action

March 15, 2020

Raymond A. Thomas (CRD # 1675282) was a Financial Advisor at Network 1 Financial Securities in Brooklyn, NY. Raymond A. Thomas has been in the securities industry since 1997 and has worked for 16 brokerage firms, including six (6) that have been expelled from the industry by FINRA. According to publicly available records released by…

Former Ceteral Advisors Network Broker, David Aaron Rockwell, Barred By FINRA For Failing To Respond To FINRA Request For Information

February 27, 2020

David Aaron Rockwell (CRD # 4236377) was a Financial Advisor at Cetera Advisor Networks LLC in Fort Myers, FL.  David Rockwell has been in the securities industry since since 2000 and previously worked at SunTrust Investment Services, Inc., Fifth Third Securities, Inc. and Comerica Securities. According to publicly available records released by the Financial Industry…

Former Forest Securities Broker, Jeffrey Scott Nimmow, Barred By FINRA For Engaging In The Sale Of Woodbridge Notes Without Firm Approval

February 19, 2020

Jeffrey Scott Nimmow (CRD # 2693601) was a Financial Advisor at Forest Securities, Inc. in Hillside, IL.  Jeffrey Nimmow has been in the securities industry since since 1996 and previously worked at Questar Capital Corporation, Traderight Securities, Inc., USAllianz Securities, Inc., Signator Investors, Inc. and John Hancock Mutual Life Insurance Company. According to publicly available…

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Main Office - Fort Lauderdale

1250 S. Pine Island Road
Suite 325
Plantation, FL 33324
Phone: (800) 931-8452
(954)-406-1231

We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis

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1001 Fourth Ave.
#3200
Seattle, WA 98154

We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis