Eric C. Willer-Former Fusion Analytics Securities Broker-Suspended by Securities Regulators-Dallas, TX

Eric C. Willer-Former Fusion Analytics Securities Broker-Suspended by Securities Regulators-Dallas, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 9, 2022 June 9, 2022

Eric 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…

ER
May 3, 2022
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Chadwick Collins-Former Kestra Broker-Discloses Customer Disputes and a Termination-Carlsbad, CA

Chadwick Collins-Former Kestra Broker-Discloses Customer Disputes and a Termination-Carlsbad, CA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g May 3, 2022 May 3, 2022

Chadwick 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.…

ER
July 29, 2021
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James Daughtry-Former Kestra Financial Services Broker-Permanently Barred From FINRA- Dothan, AL

James Daughtry-Former Kestra Financial Services Broker-Permanently Barred From FINRA- Dothan, AL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 29, 2021 July 29, 2021

July 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…

Rex Securities Law
December 2, 2020
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Jeffrey Alan Blutstein-Former Kestra Broker-Permanently Barred From FINRA-Holbrook, NY

Jeffrey Alan Blutstein-Former Kestra Broker-Permanently Barred From FINRA-Holbrook, NY https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g December 2, 2020 December 2, 2020

December 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…

Rex Securities Law
May 20, 2020
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Gabe Hynes -Former Kestra Investment Broker- Discloses Two Regulatory Events, Two Customer Disputes and Two Terminations-St. Augustine, FL

Gabe Hynes -Former Kestra Investment Broker- Discloses Two Regulatory Events, Two Customer Disputes and Two Terminations-St. Augustine, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 20, 2020 May 20, 2020

May 2020- St. Augustine, FL The FINRA records of Gabriel (Gabe) William Hynes, a broker previously employed by Kestra Investment Services , disclose two regulatory events, one resulting in his bar from the…

Rex Securities Law
February 19, 2019
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Cheryl Stallings-Former LPL Financial Broker-Discloses Regulatory Action and Termination From Employment, Amarillo, TX

Cheryl Stallings-Former LPL Financial Broker-Discloses Regulatory Action and Termination From Employment, Amarillo, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 19, 2019 February 19, 2019

February 2019 – Amarillo, Texas According to public records of Cheryl Ann Stallings (formerly Cheryl Ann Bledsoe) (CRD#1162913) a former stockbroker with LPL Financial, discloses a regulatory event and a termination from…

Rex Securities Law
February 16, 2019
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 16, 2019 February 16, 2019

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…

Rex Securities Law
May 4, 2018
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Stephanie D. Abee-Cambridge Investment Research Broker-Discloses Settlement of Customer Disputes-Raleigh, N.C.

Stephanie D. Abee-Cambridge Investment Research Broker-Discloses Settlement of Customer Disputes-Raleigh, N.C. https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 4, 2018 May 4, 2018

May 2018- Raleigh, North Carolina According to FINRA records, Stephanie Devan Abee, a stockbroker who is currently employed by Cambridge Investment Research, disclose settlement of two customer disputes. The Financial Industry Regulatory…

Rex Securities Law
April 10, 2017
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Matthew T. Griffith-Former Kestra Investment Services Broker-Discloses Settlement of Customer Dispute-San Diego, CA

Matthew T. Griffith-Former Kestra Investment Services Broker-Discloses Settlement of Customer Dispute-San Diego, CA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 10, 2017 April 25, 2018

UPDATED April 2018 FINRA records disclose that Matthew T. Griffith is no longer registered with Kestra Investment Services as of 4/2018. In addition FINRA records disclose that FINRA customer arbitration …

Kestra Investment Services complaint