Securities Lawyers Blog
A FINRA disciplinary action against a brokerage firm resolves the regulator’s case, not the customers’ losses. Investors who held accounts at Kestra Investment Services, LLC during the periods covered by the actions below may have claims of their own. The securities arbitration attorneys at Gana Weinstein LLP represent investors in FINRA arbitration against brokerage firms and can review your accounts, free of charge, to tell you whether the conduct FINRA described affected you.
Kestra Investment Services is the broker-dealer subsidiary of Kestra Financial, providing brokerage, investment advisory and insurance services along with business management technology for independent financial professionals. Kestra Financial was established in 1997 and is headquartered in Austin, Texas, and ranks among the larger independent broker-dealers in the United States by revenue.
Kestra Investment Services, LLC – By the Numbers: