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NFP Securities (now Kestra)

George M. Warner-Former Chelsea Financial Broker-Discloses Regulatory Sanction -Horseshoe Bay & Rockwall, TX

George M. Warner-Former Chelsea Financial Broker-Discloses Regulatory Sanction -Horseshoe Bay & Rockwall, TX 150 150 Rex Securities Law

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…

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John Spach-Former Kestra Investment Services Broker-Discloses $450K Settlement & Termination from Employment-Calabasas, CA

John Spach-Former Kestra Investment Services Broker-Discloses $450K Settlement & Termination from Employment-Calabasas, CA 150 150 Rex Securities Law

February 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…

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Kestra Investment Services Assessed Regulatory Fine Over Mutual Fund Sales-Austin, TX

Kestra Investment Services Assessed Regulatory Fine Over Mutual Fund Sales-Austin, TX 150 150 Rex Securities Law

February 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…

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Kestra To Be Put Up For Sale-Austin, Texas

Kestra To Be Put Up For Sale-Austin, Texas 150 150 Rex Securities Law

December 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…

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Kestra Investment Services Discloses Regulatory Fines/ Arbitration Awards-Austin, Texas

Kestra Investment Services Discloses Regulatory Fines/ Arbitration Awards-Austin, Texas 150 150 Rex Securities Law

April 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…

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Stuart Horowitz-Former Securities America Broker-Discloses 37 Customer Disputes

Stuart Horowitz-Former Securities America Broker-Discloses 37 Customer Disputes 150 150 Rex Securities Law

July 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…

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Securities America Broker Has Over 30 Customer Disputes On FINRA Record- Coral Springs, FL

Securities America Broker Has Over 30 Customer Disputes On FINRA Record- Coral Springs, FL 150 150 Rex Securities Law

February 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…

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Former NFP Securities Broker Sanctioned by Regulators-St. Petersburg, FL

Former NFP Securities Broker Sanctioned by Regulators-St. Petersburg, FL 150 150 Rex Securities Law

January 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…

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Austin Based NFP Advisor Services Fined $500K by Securities Regulators

Austin Based NFP Advisor Services Fined $500K by Securities Regulators 150 150 Rex Securities Law

July 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…

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