Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carey Rolls (Rolls), previously associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rolls recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on May 13, 2026.
Customers allege that their former financial advisor directed them to invest in a non-Firm loan investment and in a separate non-Firm business venture (boat and shipping company), both of which investments were unsuitable and resulted in losses to their investment amounts. Customers assert claims of breach of fiduciary duty, fraud, and civil theft.