Tag Archives: Kestra Investment Services

FINRA Bars Kestra Stockbroker For Selling Away

George Mackley Robertson of Darien Connecticut a stockbroker formerly registered with Kestra Investment Services LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that (1) Robertson sold away from Kestra Investment Services (2) Robertson engaged in outside business activities without disclosing them […]

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Kestra Accused By Investors Of Selling Bad Investments

Donald A. Lueke of Kansas City Missouri a stockbroker formerly employed by Kestra Investment Services LLC is referenced in a customer initiated investment related written complaint which was resolved for $25,000.00 on May 15, 2018 founded on allegations that (1) the customer was placed into business development company group companies that were inappropriate for the […]

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Kestra Sued For Real Estate Security Suitability

January 10, 2018  |   Posted by :   |   Alternative Investments, Investment and Regulatory News   |   0 Comments

Michael Brian Walk of Longwood, Florida, a stockbroker currently registered with Kestra Investment Services, LLC, is the subject of a customer initiated investment related arbitration claim, in which the customer requested $72,000.00 in damages founded on accusations that Walk made unsuitable investment recommendations to the customer in regard to real estate security and direct investment […]

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Kestra Sued For Private Placement Investment Fraud

November 01, 2017  |   Posted by :   |   Private Placement Fraud   |   0 Comments

Stuart Horowitz, of Coral Springs, Florida, a stockbroker formerly registered with Kestra Investment Services, has been named in a customer initiated investment related arbitration claim, where the customer sought $70,000.00 in damages based upon allegations including the failure to conduct diligence on private placement investments; fraud; unsuitable investment recommendations; and the failure to supervise Horowitz’s […]

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Kestra Investment Services Sued For Suitability

August 02, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Chuck J. Hilliard II, of Austin, Texas, a stockbroker formerly registered with Kestra Investment Services, LLC, is the subject of a customer initiated investment related written complaint on December 7, 2016, in which the customer requested more than $5,000.00 in damages based upon allegations that Hilliard effected unsuitable transactions in the customer’s account. Financial Industry […]

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