George M. Warner Investigation June 2022-Horseshoe Bay & Rockwall, TX The FINRA records of George M. Warner , a former stockbroker who last was registered with Chelsea Financial Services disclose 2 prior…
read moreFebruary 2019 – Calabasas, CA According to publicly available records John William Spach (CRD#2731192) , a previously registered stockbroker who was last employed by Kestra Investment Services, LLC disclose a recent regulatory sanction, a…
read moreFebruary 2019 – Austin, Texas FINRA recently sanctioned Austin-based Kestra Investment Services (formerly NFP Advisor Services) for over charging more than 3,000 who qualified for waiver of front end sales…
read moreDecember 2018- Austin, Texas The Investment News reports that broker dealer Kestra is being put up for sale. Goldman Sachs has been hired as its investment banker to head up…
read moreApril 2017-Austin, Texas According to publicly available records Kestra Investment Services (formerly NFP ) , (CRD# 42046) , a FINRA registered broker dealer headquartered in Austin, Texas, discloses 10 prior final regulatory events and…
read moreJuly 2016-Coral Springs, Florida The FINRA records of Stuart Horowitz , a former stock broker employed by Securities America , disclose a prior final regulatory event, 33 prior customer disputes, 4 currently pending customer disputes and a…
read moreFebruary 23, 2016- Coral Springs, FL Stuart Horowitz entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between February 2009 and…
read moreJanuary 21, 2016- St. Petersburg, FL Michael William Hajek, III entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while he was…
read moreJuly 16, 2015- Dallas Texas NFP Advisor Services ( formerly NFP Securities, Inc.) , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to…
read more- 1
- 2