Pamela Espinosa Investigation March 2023- Albuquerque, NM According to publicly available records, Pamela Sue Espinosa a Kestra Investment Services broker discloses a $1M pending customer dispute. The Financial Industry Regulatory…
read moreKaren S. Cunningham Investigation March 2023- Oklahoma City, OK According to publicly available records Karen Shaw Cunningham, a broker with Kestra Investment Services, discloses a pending customer suit. The Financial…
read moreKaren Cunningham Investigation February 2023- Oklahoma City, OK According to publicly available records Karen Shaw Cunningham, a broker employed by Kestra Advisory Services, discloses a pending customer dispute. The Financial…
read moreDavid Lentz Investigation August 2022-Kernersville, North Carolina The FINRA records of David W. Lentz, a former Kestra Investment Services broker and owner of Thorium Wealth Management disclose a pending customer dispute seeking millions in damages. The Financial Industry…
read moreEric Willer Investigation June 2022- Dallas, Texas According to publicly available records Eric C. Willer , (CRD# 2263899 ) , a stockbroker who formerly worked with Fusion Analytics Securities discloses a regulatory suspension. The Financial…
read moreWalter S. Hall Investigation May 2022-Memphis, TN The FINRA records of Walter Scott Hall, an unregistered broker, last employed with Coastal Equities, discloses 2 terminations from employment. The Financial Industry Regulatory…
read moreChadwick Collins Investigation May 2022-Carlsbad, CA The FINRA records of Chadwick Collins, a Kestra Investment Services/Wedbush Securities broker discloses 3 pending customer disputes, 3 prior finalized customer disputes and a termination from employment.…
read moreJuly 2021- Dothan, AL According to publicly available records James Blake Daughtry (CRD#3272282), a former stockbroker who last worked for Kestra Financial Services, has been permanently barred from FINRA. The…
read moreDecember 2020- Holbrook, NY According to publicly available records Jeffrey Alan Blutstein (CRD#1398688), a former stockbroker who last worked for American Portfolios Financial Services, discloses a regulatory event and a…
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