Kestra Investment Services

There are Recent Customer Complaints with Broker Christina Garland in Firm Kestra Investment Services, LLC

January 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christina Garland (Garland), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Garland recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on October 29, 2021.

Customer complained that he had not authorized the sale of Exxon shares in his advisory account in April 2021, and requested restoration of the shares to his account. Activity period: 4/7/21 to 4/7/21.

Broker James Daughtry in Kestra Investment Services, LLC Firm Has Customer Complaint

January 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Daughtry (Daughtry), previously associated with Kestra Investment Services, LLC, has at least 7 disclosable events. These events include 5 customer complaints, 2 regulatory events, alleging that Daughtry recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 29, 2022.

On 9/28/22 an Order to Bar (OB-2022-0023) was issued against the Respondent by Alabama Securities Commission. OB issued due to Respondent failed to make full & complete disclosure that clients’ accounts were being sold, moved to Graysail & lack of respondent’s involvement with their accounts. For more info contact the Alabama Securities Commission at 334-242-2984

Broker Edward Collins in Kestra Investment Services, LLC Firm Has Customer Complaint

December 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Collins (Collins), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Collins recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $90,000.00 on December 16, 2021.

Client alleges unsuitable investment recommendations in July 2015 and other causes of action.

Broker Herman Kahn in Kestra Investment Services, LLC Firm Has Customer Complaint

December 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Herman Kahn (Kahn), previously associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kahn recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $110,000.00 on December 29, 2021.

Claim alleges that the FP and firm failed to disclose the risky nature of 2 investments and that the transactions were not suitable based on investment objectives and risk tolerance.

Broker Willard Pugh in Kestra Investment Services, LLC Firm Has Customer Complaint

December 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Willard Pugh (Pugh), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pugh recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.01 on December 22, 2021.

THE MATTER IS REPORTED BASED ON THE INFORMATION FILED BY PRIOR EMPLOYING FIRM: DAWSON JAMES SECURITIES, INC. (“DJS”). FOLLOWING IS THE EXPLANATORY SUMMARY FILED BY DJS WITH RESPECT TO THE REPORTED MATTER: “CLAIMANTS ALLEGE THAT RESPONDENT DID NOT CONDUCT A REASONABLE DUE DILIGENCE ON HIT, THAT THE RISKS OF THIS INVESTMENT WAS NOT DISCLOSED TO THEM, AND THAT THIS INVESTMENT WAS UNSUITABLE FOR THEM BECAUSE THE RISKS WERE NOT DISCLOSED TO THEM AND THIS INVESTMENT RECOMMENDATION WAS INCONSISTENT WITH THEIR INVESTMENT OBJECTIVES AND RISK TOLERANCE”

Broker Mark Gelbman in Kestra Investment Services, LLC Firm Has Customer Complaint

December 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Gelbman (Gelbman), previously associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gelbman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 28, 2022.

The client alleges that the representative misrepresented the variable annuity.

There are Recent Customer Complaints with Broker Rainey Rogers in Firm Kestra Investment Services, LLC

December 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rainey Rogers (Rogers), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rogers recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 16, 2023.

The Guardian for the client alleged the additional premiums to the VA contract in 2021 were unsuitable for the client’s age.

Broker Thomas Shumosic in Kestra Investment Services, LLC Firm Has Customer Complaint

December 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Shumosic (Shumosic), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shumosic 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 $17,000.00 on October 22, 2025.

Former client alleges that the representative failed to disclose the surrender charges and additional fees associated with an annuity.

Broker Edward Collins in Kestra Investment Services, LLC Firm Has Customer Complaint

December 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Collins (Collins), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Collins recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $90,000.00 on December 16, 2021.

Client alleges unsuitable investment recommendations in July 2015 and other causes of action.

There are Recent Customer Complaints with Broker Herman Kahn in Firm Kestra Investment Services, LLC

December 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Herman Kahn (Kahn), previously associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kahn recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $110,000.00 on December 29, 2021.

Claim alleges that the FP and firm failed to disclose the risky nature of 2 investments and that the transactions were not suitable based on investment objectives and risk tolerance.