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Kestra Investment Services problem

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…

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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 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…

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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 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…

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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. 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…

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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 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 …

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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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Investacorp Broker Discharged for Failure to Follow Firm Policy-Austin, Texas

Investacorp Broker Discharged for Failure to Follow Firm Policy-Austin, Texas 150 150 Rex Securities Law

Austin, Texas The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes…

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