Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Bailey (Bailey), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bailey 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 $1,298,000.00 on October 06, 2025.
Customers allege that in March 2018, they were solicited to invest in a Life Settlement Product from SLS Strategies, LLC, that contained false and misleading information.