Tag Archives: Scott Patrick Kozak

FINRA Sanctions Cetera Stockbroker For Selling Away

March 26, 2020  |   Posted by :   |   Selling Away and Outside Activities   |   Comments Off on FINRA Sanctions Cetera Stockbroker For Selling Away

Scott Patrick Kozak of Highlands Ranch Colorado a stockbroker formerly registered with Cetera Advisors LLC has been fined $10,000.00 and suspended for two years from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he engaged in undisclosed private securities transactions and outside business activities. Letter […]

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