Category: Kestra Investment Services

Did You Lose Money Because of James Morrison?

Filed: March 20, 2024

James Morrison (also known as Jim Morrison) has been the subject of one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on James Stafford Morrison.

Who Is James Stafford Morrison of Kestra Investment Services, LLC and Kestra Advisory Services, LLC?

• Advisor Name: James Stafford Morrison
• Aliases: Jim Morrison
• CRD: 1254375
• Location: Waco, Texas
• Current Employer: Kestra Investment Services, LLC and Kestra Advisory Services, LLC
• Previous Firms: NFP Advisor Services, LLC and WS Griffith Securities, Inc.
• Number of Known Customer Complaints: 1
• Can James Morrison Be Sued: Yes, in Private Arbitration
• Can James Morrison’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $150,000
• Highest Settlement: $150,000

If you have suffered investment losses by James Morrison, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against James Morrison For Broker Misconduct

As of this publication date, James Morrison has been the subject of 1 customer dispute. Let’s review it below.

In December 2022, a FINRA arbitration was filed against or in reference to James Morrison by multiple customers of Kestra Investment Services, LLC alleging that  the sale of a private placement was unsuitable and Kestra failed to conduct appropriate due diligence on the product. Per the customers, they lost over $150,000 because of Mr. Morrison’s actions. On March 5, 2024, Mr. Morrison settled the claim for $150,000, and some or all of this amount may have been paid by Mr. Morrison’s employer and/or insurance carrier.

How To File A Claim Against James Morrison of Kestra Investment Services, LLC and Kestra Advisory Services, LLC (previously with NFP Advisor Services, LLC and WS Griffith Securities, Inc.) To Get Your Money Back

If you have questions about James Morrison, Kestra Investment Services, LLC, Kestra Advisory Services, LLC, NFP Advisor Services, LLC, WS Griffith Securities, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Pamela Espinosa?

Filed: March 12, 2024

Pamela Espinosa (also known as Pamela Sue Davis, Pamela Deweber) currently has one (1) pending customer complaint. Overall, he has been the subject of one (1) customer complaint and one (1) criminal event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Pamela Sue Espinosa.

Who Is Pamela Sue Espinosa of Kestra Investment Services, LLC and Kestra Advisory Services, LLC?

• Advisor Name: Pamela Sue Espinosa
• Aliases: Pamela Sue Davis, Pamela Deweber
• CRD: 5865661
• Location: Albuquerque, New Mexico
• Current Employer: Kestra Investment Services, LLC and Kestra Advisory Services, LLC
• Previous Firms: SII Investments, Inc.
• Number of Known Customer Complaints: 1
• Number of Known Criminal Events: 1
• Can Pamela Espinosa Be Sued: Yes, in Private Arbitration
• Can Pamela Espinosa’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $1,000,000
• Highest Settlement: Unknown

If you have suffered investment losses by Pamela Espinosa, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Pamela Espinosa For Broker Misconduct

As of this publication date, Pamela Espinosa has been the subject of 1 customer dispute and 1 criminal event. Let’s review them below.

In January 2023, a FINRA arbitration was filed against or in reference to Pamela Espinosa by a customer of SII Investments, Inc. alleging that Ms. Espinosa recommended unsuitable private investments in order to generate high commissions. Additionally, claimant alleges that Ms. Espinosa engaged in cross trading. Per the customer, he/she lost over $1,000,000 because of Ms. Espinosa’s actions. As of this publication date, this claim remains pending.

In May 1993, felony charges were pressed against Ms. Espinosa in Second Judicial District Court for the State of New Mexico, County of Bernolillo. Ms. Espinosa received 1 felony charge for embezzlement.

How To File A Claim Against Pamela Espinosa of Kestra Investment Services, LLC and Kestra Advisory Services, LLC (previously with SII Investments, Inc.) To Get Your Money Back

If you have questions about Pamela Espinosa, Kestra Investment Services, LLC, Kestra Advisory Services, LLC, SII Investments, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Joseph Peduzzi?

Filed: March 12, 2024

Joseph Peduzzi (also known as Joseph Peter Peduzzi) has been the subject of one (1) termination event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Joseph P Peduzzi.

Who Is Joseph P Peduzzi?

• Advisor Name: Joseph P Peduzzi
• Aliases: Joseph Peter Peduzzi
• CRD: 2350899
• Location: Pittsburgh, Pennsylvania
• Current Employer: Currently Not Registered
• Previous Firms: Kestra Investment Services, LLC, Morgan Stanley, and The Tiberius Qualified Master Fund Ltd.
• Number of Known Termination Events: 1
• Can Joseph Peduzzi Be Sued: Yes, in Private Arbitration
• Can Joseph Peduzzi’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: Unknown
• Highest Settlement: Unknown

If you have suffered investment losses by Joseph Peduzzi, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Joseph Peduzzi For Broker Misconduct

As of this publication date, Joseph Peduzzi has been the subject of 1 regulatory event, 1 termination event, and 1 customer dispute. Let’s review them below.

In March 2023, Morgan Stanley terminated Joseph Peduzzi for allegedly conducting transactions in clients’ accounts without receiving verbal confirmation immediately beforehand, as well as failing to timely escalate a client complaint.

How To File A Claim Against Joseph Peduzzi (previously with Kestra Investment Services, LLC, Morgan Stanley, and The Tiberius Qualified Master Fund Ltd.) To Get Your Money Back

If you have questions about Joseph Peduzzi, Kestra Investment Services, LLC, Morgan Stanley, The Tiberius Qualified Master Fund Ltd., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Michael Hyser?

Filed: March 4, 2024

Michael Hyser currently has one (1) pending customer complaint. Overall, he has been the subject of one (1) customer complaint and two (2) regulatory events. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Michael Richard Hyser.

Who Is Michael Richard Hyser of Kestra Investment Services, LLC and Kestra Advisory Services, LLC?

• Advisor Name: Michael Richard Hyser
• Aliases: Michael Hyser
• CRD: 2322261
• Location: Johns Creek, Georgia
• Current Employer: Kestra Investment Services, LLC and Kestra Advisory Services, LLC
• Previous Firms: NFP Advisor Services, LLC, ING Financial Partners, Inc., and Prudential Financial Planning Services
• Number of Known Customer Complaints: 1
• Number of Known Regulatory Events: 2
• Can Michael Hyser Be Sued: Yes, in Private Arbitration
• Can Michael Hyser’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $5,000
• Highest Settlement: Unknown

If you have suffered investment losses by Michael Hyser, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Michael Hyser For Broker Misconduct

As of this publication date, Michael Hyser has been the subject of 1 customer dispute and 2 regulatory events. Let’s review them below.

In April 2023, a FINRA arbitration was filed against or in reference to Michael Hyser by multiple customers of Kestra Investment Services, LLC alleging that Mr. Hyser  recommended the sale of unsuitable investments. Per the customers, they lost over $5,000 because of Mr. Hyser’s actions. As of this publication date, this claim remains pending.

In October 2003, the Office Of Commissioner Of Insurance-State Of Georgia initiated a regulatory action against or in reference to Michael Hyser for concealment of material fact on Georgia License Renewal Application and failure to notify commissioner within 60 days of Alabama regulatory action.

In February 2003, the State of Alabama – Department of Insurance initiated a regulatory action against or in reference to Michael Hyser for failure to disclose a 1990 misdemeanor.

How To File A Claim Against Michael Hyser of Kestra Investment Services, LLC and Kestra Advisory Services, LLC (previously with NFP Advisor Services, LLC, ING Financial Partners, Inc., and Prudential Financial Planning Services) To Get Your Money Back

If you have questions about Michael Hyser, Kestra Investment Services, LLC, Kestra Advisory Services, LLC, NFP Advisor Services, LLC, ING Financial Partners, Inc., Prudential Financial Planning Services, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Markus Byrd?

Filed: March 4, 2024

Markus Byrd currently has two (2) pending customer complaints. Overall, he has been the subject of three (3) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Markus Gracen Byrd.

Who Is Markus Gracen Byrd of Kestra Investment Services, LLC and Kestra Advisory Services, LLC?

• Advisor Name: Markus Gracen Byrd
• Aliases: Markus Byrd
• CRD: 2177376
• Location: Dallas, Texas
• Current Employer: Kestra Investment Services, LLC and Kestra Advisory Services, LLC
• Previous Firms: NFP Advisor Services, Inc. and Invest Financial Corporation
• Number of Known Customer Complaints: 3
• Can Markus Byrd Be Sued: Yes, in Private Arbitration
• Can Markus Byrd’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $445,000
• Highest Settlement: Unknown

If you have suffered investment losses by Markus Byrd, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Markus Byrd For Broker Misconduct

As of this publication date, Markus Byrd has been the subject of 3 customer disputes. Let’s review them below.

In August 2023, a FINRA arbitration was filed against or in reference to Markus Byrd by a customer of Kestra Investment Services, LLC alleging that Mr. Byrd made unsuitable recommendations and the claimant’s account was over concentrated. Per the customer, he/she lost over $5,000 because of Mr. Byrd’s actions. As of this publication date, this claim remains pending.

In April 2023, a FINRA arbitration was filed against or in reference to Markus Byrd by multiple customers of Kestra Investment Services, LLC alleging that Mr. Byrd recommended the sale of unsuitable investments. Per the customers, they lost over $445,000 because of Mr. Byrd’s actions. As of this publication date, this claim remains pending.

In February 1999, a complaint was filed against or in reference to Markus Byrd by a customer alleging that the client was unaware that he had purchased an IDS Life Flexible Portfolio Annuity non-qualified in December 1996 and an IDS Life Flexible Portfolio IRA in January 1997. He also alleged that Mr. Byrd never informed him of the surrender charge schedules that each annuity has. Per the customer, he lost over $9,902.28 because of Mr. Byrd’s actions.

How To File A Claim Against Markus Byrd of Kestra Investment Services, LLC and Kestra Advisory Services, LLC (previously with NFP Advisor Services, Inc. and Invest Financial Corporation) To Get Your Money Back

If you have questions about Markus Byrd, Kestra Investment Services, LLC, Kestra Advisory Services, LLC, NFP Advisor Services, Inc., Invest Financial Corporation, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Harvey Berk?

Filed: October 30, 2023

Harvey Berk has been the subject of two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Harvey Stuart Berk.

Who Is Harvey Stuart Berk of Kestra Investment Services, LLC and Kestra Advisory Services, LLC?

• Advisor Name: Harvey Stuart Berk
• Aliases: Harvey S Berk
• CRD: 705380
• Location: Kestra Investment Services, LLC and Kestra Advisory Services, LLC
• Current Employer: LPL Financial LLC
• Previous Firms: LPL Financial LLC and David Lerner Associates, Inc.
• Number of Known Customer Complaints: 2
• Can Harvey Berk Be Sued: Yes, in Private Arbitration
• Can Harvey Berk’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $73,122
• Highest Settlement: $6,500

If you have suffered investment losses by Harvey Berk, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a churning lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Harvey Berk For Broker Misconduct

As of this publication date, Harvey Berk has been the subject of 2 customer disputes. Let’s review them below.

In September 2019, a complaint was filed against or in reference to Harvey Berk by a customer of LPL Financial LLC alleging that the client’s investments did not keep pace with distributions from her account and alleged that the advisor should have recommended different investments. On February 24, 2020, Mr. Berk settled the claim for $6,500.

In February 1984, a complaint was filed against or in reference to Harvey Berk alleging unsuitability.  Per the customer, he/she lost over $73,122 because of Mr. LeBlanc’s actions. On March 1, 1984, Mr. Berk settled the claim.

How To File A Claim Against Harvey Berk of Kestra Investment Services, LLC and Kestra Advisory Services, LLC (previously with LPL Financial LLC and David Lerner Associates, Inc.) To Get Your Money Back.

If you have questions about Harvey Berk, Kestra Investment Services, LLC, Kestra Advisory Services, LLC, LPL Financial LLC, David Lerner Associates, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.