Jul 27, 2023

Todd Puentes formerly with Peachcap Securities, Inc.

DID TOM ABEL PUENTES CAUSE YOU INVESTMENT LOSSES? Todd Puentes Formerly With Peachcap Securities, Inc. and Kestra Investment Services, LLC Has 30 Customer Complaints For Alleged Broker Misconduct Todd Puentes Customer Complaints Todd Puentes has been the subject of 30 customer complaints that we know about to recover investment losses. Twenty-three of the customer complaints were settled in favor the investors. The other 7 customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Todd Puentes A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses were focused on the offer and sale of Puerto Rico Bonds. The allegations were generally unauthorized trading and unsuitable investment recommendations. Todd Puentes Red Flags & Your Rights As An Investor Of course, Todd Puentes 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 Todd Puentes at Peachcap Securities, Inc. and Kestra Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Todd Puentes has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Peachcap Securities, Inc. and Kestra Investment Services, LLC 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 Peachcap Securities, Inc. Due To Todd Puentes If you have questions about Peachcap Securities, Inc., Kestra Investment Services, LLC and/or Todd Puentes 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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Jul 19, 2023

Thomas Maguire of Lion Street Financial, LLC

DID THOMAS ELDON MAGUIRE CAUSE YOU INVESTMENT LOSSES? Thomas Maguire Of Lion Street Financial, LLC And Formerly With Kestra Investment Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Thomas Maguire Customer Complaint Thomas Maguire 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 misrepresenting the timing of exit from variable universal life Insurance positions. Kestra Investment Services settled the customer complaint for the full amount demanded, $220,000. Thomas Maguire Red Flags & Your Rights As An Investor Of course, Thomas Maguire 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 Maguire at Lion Street Financial, LLC and Kestra Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Thomas Maguire has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lion Street Financial, LLC and 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 Lion Street Financial, LLC Due To Thomas Maguire If you have questions about Lion Street Financial, LLC, Kestra Investment Services, LLC and/or Thomas Maguire 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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Jul 12, 2023

Steven Hein of Kestra Investment Services, LLC

DID STEVEN IRA HEIN CAUSE YOU INVESTMENT LOSSES? Steven Hein Of Kestra Investment Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Steven Hein Customer Complaints Steven Hein has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was denied by NFP Securities and the customer took no further action. The other customer complaint remains pending in a FINRA arbitration proceeding filed against Steven Hein’s employer Kestra Investment Services for his alleged misconduct. Allegations Against Steven Hein A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Steven Hein Red Flags & Your Rights As An Investor Of course, Steven Hein 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 Steven Hein at Kestra Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Steven Hein 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 Steven Hein If you have questions about Kestra Investment Services, LLC and/or Steven Hein 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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Apr 12, 2023

Mark Yadron of Kestra Investment Services, LLC

DID MARK DAVID YADRON CAUSE YOU INVESTMENT LOSSES? Mark Yadron Of Kestra Investment Services, LLC And Formerly With Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 6 Customer Complaints For Alleged Broker Misconduct Mark Yadron Customer Complaints Mark Yadron has been the subject of 6 customer complaints that we know about to recover investment losses. Five of the 6 customer complaints were settled by Mr. Yadron’s former employers in favor of the investors. The other customer complaint was denied by Merrill Lynch Pierce Fenner and Smith and the customer took no further action. Allegations Against Mark Yadron A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Mark Yadron Red Flags & Your Rights As An Investor Of course, Mark Yadron 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 Mark Yadron at Kestra Investment Services, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Mark Yadron 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 Merrill Lynch, Pierce, Fenner & Smith Incorporated 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 Mark Yadron If you have questions about Kestra Investment Services, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Mark Yadron 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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Apr 11, 2023

Mark Gelbman of Kestra Investment Services, LLC

DID MARK ANDREW GELBMAN CAUSE YOU INVESTMENT LOSSES? Mark Gelbman Of Kestra Investment Services, LLC And Formerly With Principal Securities, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Mark Gelbman Customer Complaints Mark Gelbman has been the subject of 2 customer complaints that we know about to recover investment losses. Both customer complaints were settled by Principal Securities in favor of the investors. In March 2021 Mark Gelbman was terminated for failure to adhere to the firm’s policies and procedures regarding discretionary trading. Allegations Against Mark Gelbman A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Mark Gelbman Red Flags & Your Rights As An Investor Of course, Mark Gelbman 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 Mark Gelbman at Kestra Investment Services, LLC and Principal Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Gelbman 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 Principal Securities, 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 Mark Gelbman If you have questions about Kestra Investment Services, LLC, Principal Securities, Inc. and/or Mark Gelbman 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 17, 2023

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 2 Customer Complaints For Alleged Broker Misconduct Kenneth Knox Customer Complaints Kenneth Knox has been the subject of 2 customer complaints that we know about to recover investment losses. Both customer complaints were denied, and to date, the customers have not taken any 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 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 9, 2023

Joseph Moyer of Kestra Investment Services, LLC

DID JOSEPH WILLIAM MOYER CAUSE YOU INVESTMENT LOSSES? Joseph Moyer Of Kestra Investment Services, LLC Has 4 Customer Complaints For Alleged Broker Misconduct Joseph Moyer Customer Complaints Joseph Moyer has been the subject of 4 customer complaints that we know about to recover investment losses. Two of the customer complaints were settled by LPL Financial and MML Investors Services in favor of the investors. The other 2 customer complaints were denied by LPL Financial and to date, the customers have not taken any further action. Allegations Against Joseph Moyer A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Joseph Moyer Red Flags & Your Rights As An Investor Of course, Joseph Moyer 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 Joseph Moyer at Kestra Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Joseph Moyer 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 Joseph Moyer If you have questions about Kestra Investment Services, LLC and/or Joseph Moyer 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 16, 2022

Eric Kee of Kestra Investment Services, LLC And Formerly With Royal Alliance Associates, Inc.

DID ERIC STEPHEN MATTHEW KEE CAUSE YOU INVESTMENT LOSSES? Eric Kee Of Kestra Investment Services, LLC And Formerly With Royal Alliance Associates, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Eric Kee of Kestra Investment Services, LLC And Formerly With Royal Alliance Associates, Inc.? Eric Kee (CRD #2718062) who is currently registered with Kestra Investment Services, LLC and located in Lakewood, Colorado is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Kestra Investment Services, LLC, Eric Kee was associated with Royal Alliance Associates, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Eric Kee Customer Complaint Eric Kee has been the subject of at least one customer complaint that we know about, which was filed to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were misrepresentation of a business development company investment. Eric Kee’s customer complaint was denied and, to date, the customer has not taken any further action. Eric Kee Red Flags & Your Rights As An Investor Of course, Eric Kee 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 Eric Kee at Kestra Investment Services, LLC and Royal Alliance Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Eric Kee 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 Royal Alliance Associates, 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. File A Claim To Recover Your Investment Losses At Kestra Investment Services, LLC Due To Eric Kee If you have questions about Kestra Investment Services, LLC, Royal Alliance Associates, Inc. and/or Eric Kee 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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May 22, 2022

Bernard Wolfe formerly with Kestra Investment Services, LLC

When you entrust your money to a broker, it’s critical to know as much as possible about the individual with whom you’re dealing. You may discover a lot about your broker’s past workplace history, fines, and consumer complaints if you go online. We hope that this information is useful in resolving any questions you may have regarding Bernard Wolfe and the investments losses you may have incurred. To the best of our ability, we will try to answer these inquiries. DID BERNARD RONALD WOLFE CAUSE YOU INVESTMENT LOSSES? Bernard Wolfe Formerly With Kestra Investment Services, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is Bernard Wolfe formerly with Kestra Investment Services, LLC? Bernard Wolfe (CRD #871051) who was formerly registered with Kestra Investment Services, LLC and located in Rockville, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Bernard Wolfe Customer Complaints Bernard Wolfe has been the subject of 3 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Bernard Wolfe’s 3 customer complaints was settled in favor of investors. One of Bernard Wolfe’s customer complaints was denied and, to date, the customer has not taken any further action. There is currently 1 pending customer complaint filed against Bernard Wolfe’s former employer Kestra Investment Services, LLC for investment losses caused by the alleged misconduct. Allegations Against Bernard Wolfe A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendations of alternative investments. Customer complaints about expense incurred to reinstate a variable annuity transaction. Negligence, overconcentration, breach of fiduciary duty, breach of contract, material misrepresentations and omissions related to a business development company investment. Bernard Wolfe Red Flags & Your Rights As An Investor Of course, Bernard Wolfe 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 Bernard Wolfe at Kestra Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Bernard Wolfe 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 firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Kestra Investment Services, LLC Due To Bernard Wolfe If you have questions about Kestra Investment Services, LLC and/or Bernard Wolfe 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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Apr 1, 2022

Athishay Gangadharan of Kestra Investment Services, LLC

DID ATHISHAY GANGADHARAN CAUSE YOU INVESTMENT LOSSES? Athishay Gangadharan Of Kestra Investment Services, LLC  And Formerly With TIAA-CREF Individual & Institutional Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Athishay Gangadharan of Kestra Investment Services, LLC? Athishay Gangadharan (CRD #5531128) who is currently registered with Kestra Investment Services, LLC and located in Montclair, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Kestra Investment Services, LLC, Athishay Gangadharan was associated with TIAA-CREF Individual & Institutional Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Athishay Gangadharan Customer Complaint Athishay Gangadharan has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that financial advisor ignored her instructions to move her assets to safety in light of spreading news related to the coronavirus and further, the financial advisor invested the client’s cash and that she suffered financial losses.  Athishay Gangadharan’s customer complaint was settled in favor of the investors. Athishay Gangadharan Red Flags & Your Rights As An Investor Of course, Athishay Gangadharan 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  Athishay Gangadharan at Kestra Investment Services, LLC and TIAA-CREF Individual & Institutional Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Athishay Gangadharan 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 TIAA-CREF Individual & Institutional 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. File A Claim To Recover Your Investment Losses At Kestra Investment Services, LLC Due To Athishay Gangadharan If you have questions about Kestra Investment Services, LLC, TIAA-CREF Individual & Institutional Services, LLC and/or Athishay Gangadharan 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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