fbpx

Kestra Investment Services complaint

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 150 150 Rex Securities Law

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…

read more

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 150 150 ER

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.…

read more

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 150 150 ER

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…

read more

Jeffrey Alan Blutstein-Former Kestra Broker-Permanently Barred From FINRA-Holbrook, NY

Jeffrey Alan Blutstein-Former Kestra Broker-Permanently Barred From FINRA-Holbrook, NY 150 150 Rex Securities Law

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…

read more

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 150 150 Rex Securities Law

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…

read more

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 150 150 Rex Securities Law

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…

read more

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…

read more

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. 150 150 Rex Securities Law

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…

read more

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 150 150 Rex Securities Law

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 …

read more