Articles Tagged with Kestra Investment Services

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Belanger (Belanger), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Belanger 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 $100,000.00 on September 15, 2022.

Claimants allege their financial adviser recommended unsuitable investments. Claimants generally allege suitability and misrepresentation.

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

FINRA BrokerCheck shows a settled customer complaint on September 16, 2022.

Client alleges unauthorized trading in his account from February 2022 to August 2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Morrison (Morrison), previously associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Morrison 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 $450,000.00 on June 17, 2025.

Claimant alleges that an unsuitable product was sold.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Darracq (Darracq), previously associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Darracq 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 $450,000.00 on June 17, 2025.

Claimant alleges that an unsuitable product was sold.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Morrison (Morrison), previously associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Morrison 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 $450,000.00 on June 17, 2025.

Claimant alleges that an unsuitable product was sold.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Darracq (Darracq), previously associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Darracq 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 $450,000.00 on June 17, 2025.

Claimant alleges that an unsuitable product was sold.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Harris (Harris), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Harris 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 $100.00 on April 24, 2025.

Claimant alleges that Respondent failed to comply with Regulation Best Interest Considerations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Hill (Hill), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hill 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 05, 2025.

Claimants allege that the representative misrepresented and recommended an unsuitable life insurance policy to the pension plan. \, Claimants alleged they would have been better served with a securities portfolio instead of the life insurance policy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Ciccone (Ciccone), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ciccone 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 23, 2025.

Starting in May 2021, the client alleges the representative provided specific trading guidance and trading strategies that were not in the client’s best interest.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Girish Navare (Navare), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Navare 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 $100,000.00 on July 28, 2023.

Alleged breach of fiduciary duty and negligent management of individual positions and overall investment strategy.

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