Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Kozak (Kozak), currently associated with Sigma Financial Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Kozak recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 09, 2021.
The complainant alleges that the REIT that was sold to him beginning in or around 2014 was unsuitable for his conservative portfolio and he wasn’t advised that there could be a loss of principal.