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Articles Posted in oil private placements

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Kestra Broker Herbert Smith Subject to Complaint Over Oil and Gas Investments

According to BrokerCheck records financial advisor Herbert Smith (Smith), currently associated with Kestra Investment Services, LLC (Ketra Investment), has been subject to one customer complaint and two tax liens.  According to records kept by The Financial Industry Regulatory Authority (FINRA) Smith has been accused by a customers of unsuitable investment…

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