Haselkorn & Thibaut, a national law firm with over 50 years of collective experience representing investors nationwide, has initiated an independent investigation into Norbert Kozma (CRD# 4693554), a broker currently registered with Craft Capital Management LLC in Boca Raton, FL. If you have worked with Norbert Kozma as your advisor or have concerns about your investments, you may be entitled to a free portfolio review and consultation. Reach out anytime to Haselkorn & Thibaut at 1-888-885-7162. There is no charge and no obligation — no recovery, no fee.
Who Is Norbert Kozma? (Boca Raton, FL – Craft Capital Management LLC)
Table of Contents
Norbert Kozma is a securities broker with over 22 years of industry experience. He is currently registered with Craft Capital Management LLC (CRD# 171350) located in Boca Raton, FL. Mr. Kozma maintains active securities licenses across 17 different states and holds registrations with both FINRA and the Nasdaq Stock Market. Despite a long tenure in the financial sector, investors should stay informed on his background, the nature of past complaints, and important firm history to make confident decisions regarding their portfolios.
Full Employment History at a Glance
| Firm Name | Location | Dates | Firm Outcome |
|---|---|---|---|
| Craft Capital Management LLC | Boca Raton, FL | 10/2024 – Present | Active |
| I-Bankers Securities, Inc. | Boca Raton, FL | 08/2023 – 10/2024 | Previous |
| I-Bankers Direct, LLC | Boca Raton, FL | 08/2018 – 06/2024 | Expelled by FINRA (07/2024) |
| Dawson James Securities, Inc. | Boca Raton, FL | 11/2013 – 03/2017 | Previous |
| National Securities Corporation | Boca Raton, FL | 02/2008 – 11/2013 | Previous |
| Capital Growth Financial, LLC | Boca Raton, FL | 10/2007 – 02/2008 | Expelled by FINRA (07/2008) |
| Hunter Scott Financial LLC | Delray Beach, FL | 05/2004 – 10/2007 | Expelled by FINRA (10/2014) |
| Newbridge Securities Corporation | Boca Raton, FL | 08/2003 – 05/2004 | Previous |
Throughout his career, Mr. Kozma has been associated with nine firms in total, three of which were eventually expelled by FINRA. While expulsions can be due to various reasons often unrelated to individual brokers, this history is an indicator that investors should proceed with a complete understanding of their advisor’s background.
Licenses and Registrations
- Active securities licenses in 17 U.S. states
- Registered with FINRA and the Nasdaq Stock Market
- Currently operates strictly as a broker — not an investment advisor
This broad licensing allows Mr. Kozma to offer a variety of securities and investment products, including stocks and more specialized strategies to investors across the country.
Complete Summary of Disclosures and Complaints
According to public records and FINRA BrokerCheck, Norbert Kozma has one customer dispute disclosure on record. Here are the details:
| Date | Allegation | Status | Amount Sought | Firm’s Response | Result |
|---|---|---|---|---|---|
| 11/18/2024 | Alleged unsuitable recommendations involving listed equities. | Withdrawn | $65,000 | Firm found complaint without merit after investigation. The broker asserted that the client was a sophisticated and experienced investor, that all orders were unsolicited and only executed after client approval, with risks fully explained, particularly in relation to short sales. Orders were not placed due to inability to locate shares to short. | No damages or settlement paid. Complaint withdrawn, no regulatory action. |
Importantly, no regulatory or disciplinary actions have been reported against Mr. Kozma to date. This single complaint was resolved in his favor with no payment or further finding of wrongdoing.
Risk Factors and What Investors Should Know
- Firm Background: Mr. Kozma’s career includes work at multiple firms, three of which were later expelled by FINRA. While this does not by itself mean wrongdoing by the broker, it is a relevant history point for investors reviewing their relationship with any financial advisor.
- Disclosure Record: Only a single customer dispute, which was withdrawn, is reported for Kozma. The nature of the complaint involved an allegation of unsuitable investment recommendations, but the firm found the claim lacked merit following an internal investigation.
- Experience & Licensing: With over two decades in the financial industry and active licensure in many jurisdictions, Mr. Kozma is positioned to serve a broad client base. However, experience alone does not guarantee conflict-free recommendations.
All investors should regularly review statements, confirm the suitability of all recommendations, and be comfortable raising any concerns with their advisor. If you believe you have been harmed or have justifiable concerns about your investments made through Norbert Kozma, a professional review may be beneficial.
Haselkorn & Thibaut Investor Advocacy
Haselkorn & Thibaut have a 98% success rate for investors nationwide and have recovered millions of dollars for clients in investment fraud, unsuitable securities sales, and broker misconduct cases. If you have concerns about trades, losses, or the suitability of investments recommended by Norbert Kozma at Craft Capital Management LLC or any prior firms, call now for a confidential, no-risk case evaluation at 1-888-885-7162. There are no fees unless we recover funds for you.
Next Steps For Investors
- Request a Statement Review: Unexplained losses or transactions? Allow a professional to review your portfolio.
- Ask Questions: If you receive answers that are confusing or unclear, don’t hesitate to seek an independent opinion.
- Contact Haselkorn & Thibaut: Get the answers and advocacy you deserve. Free consultations available nationwide at 1-888-885-7162.
Your financial security matters. Every investor is entitled to full transparency and
