JACOB ANTHONY KOZMIC

JACOB ANTHONY KOZMIC is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 18851 NE 29th Ave, Ste 700, Aventura, FL, 33180.

JACOB ANTHONY KOZMIC has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since April 05, 2016

Disclosure History

JACOB ANTHONY KOZMIC has 2 Disclosure Event(s).

Date: January 14, 2009
Category: Customer Dispute
Allegations: TIME FRAME: AUGUST 26, 2008 THRU JANUARY 14, 2009CLIENT ALLEGES THAT HE WAS NOT ADVISED OF THE NATURE OF THE BONDS OR ANY RISKS INVOLVED WHEN THE FA RECOMMENDED THEIR PURCHASE. CLIENT FURTHER ALLEGES THAT THESE BONDS WERE EXTREMELY RISKY AND INVOLVED A COMPLICATED SCHEME. DAMAGES ESTIMATED TO BE IN EXCESS OF $5,000.
Damage Amount Requested: $5,000.00

Date: April 15, 2002
Category: Customer Dispute
Allegations: CLIENT ALLEGED INVESTMENTS WERE NOT SUITABLE AND THAT FINANCIAL ADVISOR SHOULD HAVE ADVISED HIM TO SELL THEM EARLIER.
Damage Amount Requested: $50,556.00
Settlement Amount: $12,000.00

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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