Karen S. Cunningham Investigation March 2023- Oklahoma City, OK According to publicly available records Karen Shaw Cunningham, a broker with Kestra Investment Services, discloses a pending customer suit. The Financial…
read moreEric 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 moreDecember 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 moreMay 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 moreFebruary 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 moreFebruary 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 moreUPDATED 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 moreApril 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…
read moreAustin, 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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