DID DANIEL JOSEPH KOZLOSKI III CAUSE YOU INVESTMENT LOSSES?
Daniel Kozloski, III Of Northwestern Mutual Investment Services, LLC Has A Customer Complaint For Alleged Broker Misconduct
About Daniel Kozloski, III of Northwestern Mutual Investment Services, LLC?
Daniel Kozloski, III (CRD #5486167) has a professional background in the financial industry, having been associated with Northwestern Mutual Investment Services, LLC in Lakewood, Colorado since 2008. He is registered in 21 U.S. states and territories but has never passed any principal/supervisory exams, limiting his qualifications to general industry and state securities law exams. While he maintains numerous state licenses, the fact that there has been a disclosure event under his name adds a negative shadow to his record.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Daniel Kozloski, III Customer Complaint and Reviews
Daniel Kozloski’s record includes a notable disclosure:
Customer Dispute (Closed with No Action, 2024): A dispute was filed alleging that Kozloski forged a client’s signature on a policy loan check payable to the client, involving an insurance product and claimed damages of $8,500. The firm’s investigation concluded in January 2024, determining the allegations to be unfounded with no evidence of wrongdoing, leading to the case being closed with no action taken.
Allegations Against Daniel Kozloski
- Forgery Allegation: The most serious accusation against Kozloski involved the alleged forgery of a client’s signature on a policy loan check. Although the complaint was eventually dismissed by the firm, which found no evidence to support the allegations, such an accusation highlights critical concerns in a broker-client relationship.
Daniel Kozloski, III Red Flags & Your Rights As An Investor
Of course, Daniel Kozloski, III did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Daniel Kozloski, III at Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Daniel Kozloski, III has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment Services, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Northwestern Mutual Investment Services, LLC Due To Daniel Kozloski, III
If you have questions about Northwestern Mutual Investment Services, LLC and/or Daniel Kozloski, III and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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