Articles Tagged with Kestra Investment Services

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Braun (Braun), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Braun 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 $200,000.00 on November 07, 2022.

Suitability

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Pamela Espinosa (Espinosa), currently associated with Kestra Investment Services, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Espinosa  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,000,000.00 on January 25, 2023.

Claimant alleges Espinosa recommended unsuitable private investments in order to generate high commissions. Additionally, claimant alleges that Espinosa engaged in cross trading.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jon Vinge (Vinge), currently associated with Kestra Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Vinge 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 $701,211.32 on March 01, 2023.

Claimant [REDACTED] alleges violations of federal & State securities laws, breach of fiduciary duties and negligence, breach of contract, common law fraud, failure to supervise, misrepresentation and omissions, unsuitable investments and failure to act in the best interest of the client.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theodore Jenkin (Jenkin), previously associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jenkin 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 $100,000.00 on April 11, 2023.

Claimants allege Jenkin recommended and misrepresented investments in conservation easements.

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

FINRA BrokerCheck shows a pending customer complaint on July 21, 2025.

Customer alleges that certain stocks in her portfolio were unsuitable.

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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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