Tag Archives: Christopher Kozak

Cetera Stockbroker Sanctioned For Outside Activities

Christopher Kozak of Highland Ranch Colorado a stockbroker formerly registered with Cetera Advisors LLC has been fined $10,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he took part in outside business activities without providing required notice to Cetera […]

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