Our firm is investigating Craft Capital Management LLC stockbroker Norbert Kozma (CRD# 4693554) of Boca Raton, Florida for potential investment-related misconduct.
Stockbroker’s Career History
FINRA BrokerCheck records reflect that Norbert Kozma is currently registered with Craft Capital Management LLC (Firm CRD# 171350), with branch office activity in Boca Raton, Florida.
His prior registration history includes:
- Newbridge Securities Corporation (08/2003 – 05/2004)
- Hunter Scott Financial LLC (05/2004 – 10/2007)
- Capital Growth Financial, LLC (10/2007 – 02/2008)
- National Securities Corporation (02/2008 – 11/2013)
- Dawson James Securities, Inc. (11/2013 – 03/2017)
- I-Bankers Securities, Inc. (03/2017 – 12/2018)
- I-Bankers Direct, LLC (08/2018 – 06/2024)
- I-Bankers Securities, Inc. (08/2023 – 10/2024)
Norbert Kozma Fraud Allegations and Investor Complaints Explained
Customer Complaint Alleging Unsuitable Recommendations in Listed Equities (October 2024)
BrokerCheck discloses a customer dispute event categorized as “Customer Dispute – Closed-No Action / Withdrawn / Dismissed / Denied,” reported in connection with activity at I-Bankers Direct, LLC.
The disclosure states the firm received a written customer complaint alleging unsuitable recommendations in listed equity, with the product identified as Equity Listed (Common & Preferred Stock) and alleged damages of $65,000.
BrokerCheck also reflects complaint timing and status fields indicating the matter was later shown as Withdrawn, with a Status Date of 12/06/2024, and no settlement amount reported.
Disclosure Snapshot (for quick context)
- Action: Written customer complaint (listed equities)
- Allegation: Unsuitable recommendations in listed equity
- Alleged damages: $65,000
- Employing firm listed in disclosure: I-Bankers Direct, LLC
- Disposition/Status: Withdrawn (Status Date: 12/06/2024); no settlement amount shown
To obtain a copy of Norbert Kozma’s FINRA BrokerCheck report, visit this link
Robert Wayne Pearce Is Committed to Recovering Your Investment Losses
FINRA Rule 2111 (Suitability) is relevant to an allegation of unsuitable recommendations because the rule expects that a broker’s recommendation fits the customer’s investment profile, meaning the risk level and strategy should align with the investor’s objectives, experience, and tolerance for loss rather than being driven by the broker’s preferences or a one-size-fits-all approach.
FINRA Rule 2090 (Know Your Customer) matters in suitability disputes because recommendations depend on accurate customer information; when a broker does not reasonably understand the customer’s financial situation and investment needs, the resulting recommendation can become mismatched to the investor’s profile and expose the customer to avoidable risk.
FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) can apply when the underlying conduct alleged in a customer complaint suggests unfair dealing, misleading sales practices, or other behavior inconsistent with ethical standards, because Rule 2010 is often used as a broad enforcement hook for sales-practice misconduct tied to investor harm.
Losing your savings to a dishonest broker or advisor can be devastating, but you do not have to face it alone. Robert Wayne Pearce and his team have spent over four decades helping investors who were misled or defrauded by Wall Street firms. The Law Offices of Robert Wayne Pearce, P.A. takes cases nationwide on a contingency fee basis. You pay nothing unless we recover your losses. Call (800) 732-2889 or email pearce@rwpearce.com today for a free and confidential consultation.