Mar 30, 2025

Anthony Seifert Formerly With Kestra Investment Services, LLC FIRED

DID ANTHONY J SEIFERT CAUSE YOU INVESTMENT LOSSES? Anthony Seifert was fired from Kestra Investment Services, LLC on January 31, 2025, following a FINRA regulatory action. Anthony Seifert Employment History and Termination Anthony J. Seifert has a decade of experience in the financial industry and has worked for three firms as a registered broker: Kestra Investment Services, LLC (2022-2025); Merrill Lynch, Pierce, Fenner & Smith Inc. (2016-2022); and Sterne Agee Financial Services, Inc. (2015-2016) He has passed two general industry/product exams and one multi-state securities law exam but has not completed any principal or supervisory exams. Mr. Seifert is not currently registered with a brokerage firm. He was terminated by Kestra Investment Services on January 31, 2025, due to a FINRA Acceptance, Waiver, and Consent (AWC) settlement, which resulted in a 20-day suspension and a $5,000 fine for unauthorized discretionary trading. Prior to Kestra, Mr. Seifert was terminated by Merrill Lynch on March 23, 2022, for allegedly exercising time and price discretion in non-discretionary accounts and using a personal device for business purposes. Negative Disclosures Summary Four disclosures were noted: Allegations and Accusations Anthony Seifert Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Anthony Seifert is a red flag which should put all current and former customers of Anthony Seifert at Kestra Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Anthony Seifert engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kestra Investment Services, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Kestra Investment Services, LLC Due To Anthony Seifert If you have questions about Kestra Investment Services, LLC and/or Anthony Seifert and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 29, 2025

Sandip Shah Formerly With LPL Financial FIRED

DID SANDIP NALIN SHAH CAUSE YOU INVESTMENT LOSSES? Sandip Shah was fired from LPL Financial in January 2025, for allegedly failing to report and receive prior approval for an outside business activity and submitting account documents containing non-genuine signatures. Sandip Shah Employment History and Termination Sandip N. Shah has over two decades of experience in the financial industry, having worked for five different firms. From 2009-2025. His most recent registration was with LPL Financial LLC from September 2023 to January 2025. Prior to that, he had a long tenure at Sigma Financial Corporation from July 2010 to September 2023 and a brief tenure with Jesup & Lamont Securities Corp (2009-2010 Shah has passed two general industry/product exams and one multi-state securities law exam, but he has not completed any principal or supervisory exams. He is currently not registered as a broker. On January 3, 2025, he was discharged from LPL Financial LLC due to alleged violations involving outside business activity and non-genuine signatures on account documents. Negative Disclosures Summary Total number of disclosures: 1 Sandip Shah Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Sandip Shah is a red flag which should put all current and former customers of Sandip Shah at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Sandip Shah engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At LPL Financial Due To Sandip Shah If you have questions about LPL Financial and/or Sandip Shah and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jun 8, 2024

Pamela Espinosa of Kestra Investment Services, LLC Reviews

DID PAMELA SUE ESPINOSA CAUSE YOU INVESTMENT LOSSES? Pamela Espinosa Of Kestra Investment Services, LLC And Formerly With SRI Investments, Inc. Has A Customer Complaint For Alleged Broker Misconduct Pamela Espinosa Customer Complaint and Reviews Allegations Against Pamela Espinosa Kyle Cryer Red Flags & Your Rights As An Investor Of course, Pamela Espinosa did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Pamela Espinosa at Kestra Investment Services, LLC and SRI Investments, Inc. on alert to review carefully the activity and performance of their accounts and question whether Pamela Espinosa has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kestra Investment Services, LLC and SRI Investments, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Kestra Investment Services, LLC Due To Pamela Espinosa  If you have questions about Kestra Investment Services, LLC, SRI Investments, Inc. and/or Pamela Espinosa and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Feb 20, 2024

Markus Byrd of Kestra Investment Services, LLC

DID MARKUS GRACEN BYRD CAUSE YOU INVESTMENT LOSSES? Markus Byrd Of Kestra Investment Services, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Michael Arteca Customer Complaints Markus Byrd has been the subject of 3 customer complaints that we know about seeking to recover investment losses.  One customer complaint was denied by the advisor’s former employer, and the investor took no further action.  The other 2 customer complaints are recently filed FINRA arbitration proceedings against Kestra Investment Services and still pending. Allegations Against Markus Byrd A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Markus Byrd Red Flags & Your Rights As An Investor Of course, Markus Byrd did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Markus Byrd at Kestra Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Markus Byrd has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kestra Investment Services, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Kestra Investment Services, LLC Due To Markus Byrd If you have questions about Kestra Investment Services, LLC and/or Markus Byrd and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 11, 2024

Kenneth Knox of Kestra Investment Services, LLC?

DID KENNETH KYLE KNOX CAUSE YOU INVESTMENT LOSSES? Kenneth Knox Of Kestra Investment Services, LLC And Formerly With Woodbury Financial Services, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Kenneth Knox Customer Complaints Kenneth Knox has been the subject of 3 customer complaints that we know about seeking to recover investment losses. All 3 customer complaints were denied by Kestra Investment Services or former employers in the investors took no further action. Allegations Against Kenneth Knox A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Kenneth Knox Red Flags & Your Rights As An Investor Of course, Kenneth Knox did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kenneth Knox at Kestra Investment Services, LLC and Woodbury Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Kenneth Knox has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kestra Investment Services, LLC and Woodbury Financial Services, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Kestra Investment Services, LLC Due To Kenneth Knox If you have questions about Kestra Investment Services, LLC, Woodbury Financial Services, Inc. and/or Kenneth Knox and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Dec 19, 2023

Ashley Caudle of Kestra Investment Services, LLC

DID ASHLEY W CAUDLE CAUSE YOU INVESTMENT LOSSES? Ashley Caudle Of Kestra Investment Services, LLC And Formerly With Woodbury Financial Services, Inc. Has A Customer Complaint For Alleged Broker Misconduct Ashley Caudle Customer Complaint Ashley Caudle has been the subject of at least one customer complaint that we know about seeking to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses where clients did not recognize their E signature on account documents. Koester Investment Services recently denied the customer complaint and so far, the investors have not taken any further action. Ashley Caudle Red Flags & Your Rights As An Investor Of course, Ashley Caudle did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Ashley Caudle at Kestra Investment Services, LLC and Woodbury Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Ashley Caudle has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kestra Investment Services, LLC and Woodbury Financial Services, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Kestra Investment Services, LLC Due To Ashley Caudle If you have questions about Kestra Investment Services, LLC, Woodbury Financial Services, Inc. and/or Ashley Caudle and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Oct 25, 2023

Thomas Lundgaard of Kestra Investment Services, LLC

DID THOMAS BODNAR LUNDGAARD CAUSE YOU INVESTMENT LOSSES? Thomas Lundgaard Of Kestra Investment Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Thomas Lundgaard Customer Complaint Thomas Lundgaard has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for failure to obtain required documentation for investments for customer’s trust. The matter was recently filed and is still pending in Oklahoma State Court. Thomas Lundgaard Red Flags & Your Rights As An Investor Of course, Thomas Lundgaard did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Thomas Lundgaard at Kestra Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Thomas Lundgaard has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kestra Investment Services, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Kestra Investment Services, LLC Due To Thomas Lundgaard If you have questions about Kestra Investment Services, LLC and/or Thomas Lundgaard and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Aug 27, 2023

Theodore Jenkin of Kestra Investment Services, LLC

DID THEODORE MICHAEL JENKIN CAUSE YOU INVESTMENT LOSSES? Theodore Jenkin Of Kestra Investment Services, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Theodore Jenkin Customer Complaints Theodore Jenkin has been the subject of 3 customer complaints that we know about seeking to recover investment losses. One of the customer complaints was settled by Ameriprise Financial Services in favor of the investor. Another customer complaint was denied by Investacorp and the customer took no further action. The other customer complaint is pending in a recently filed FINRA arbitration proceeding against Kestra Investment Services for Theodore Jenkins alleged misconduct. Allegations Against Theodore Jenkin A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Theodore Jenkin Red Flags & Your Rights As An Investor Of course, Theodore Jenkin did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Theodore Jenkin at Kestra Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Theodore Jenkin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kestra Investment Services, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Kestra Investment Services, LLC Due To Theodore Jenkin If you have questions about Kestra Investment Services, LLC and/or Theodore Jenkin and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Aug 8, 2023

William Gese of Kestra Investment Services, LLC

DID WILLIAM ROBERT GESE CAUSE YOU INVESTMENT LOSSES? William Gese Of Kestra Investment Services, LLC Has A Customer Complaint For Alleged Broker Misconduct William Gese Customer Complaint William Gese has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were failure to disclose risks associated with investment. Kestra Investment Services denied the customer complaint and no further action was taken. William Gese Red Flags & Your Rights As An Investor Of course, William Gese did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of William Gese at Kestra Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether William Gese has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kestra Investment Services, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Kestra Investment Services, LLC Due To William Gese If you have questions about Kestra Investment Services, LLC and/or William Gese and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Aug 7, 2023

William Kaiser of Kestra Investment Services, LLC

DID WILLIAM MARTIN KAISER CAUSE YOU INVESTMENT LOSSES? William Kaiser Of Kestra Investment Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct William Kaiser Customer Complaints William Kaiser has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was settled in favor of the investor. The other customer complaint was recently denied by Kestra Investment Services and, to date, no further action has been taken. Allegations Against William Kaiser A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: William Kaiser Red Flags & Your Rights As An Investor Of course, William Kaiser did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of William Kaiser at Kestra Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether William Kaiser has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kestra Investment Services, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Kestra Investment Services, LLC Due To William Kaiser If you have questions about Kestra Investment Services, LLC and/or William Kaiser and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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