Tagged with "Kestra Financial"

FINRA Fines Kestra Investment Services for Overcharging Customers $1.6 Million in Mutual Fund Fees

Posted on February 22nd, 2019 at 3:14 PM
FINRA Fines Kestra Investment Services for Overcharging Customers $1.6 Million in Mutual Fund Fees

FINRA has fined Austin, Texas-based broker-dealer, Kestra Investment Services LLC, a subsidiary of independent broker-dealer, Kestra Financial, $225,000 for overcharging customers $1.6 million in mutual fund fees.

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Four Steps to Successfully Transition a Practice

Posted on February 5th, 2017 at 8:27 AM
Four Steps to Successfully Transition a Practice

Daniel Schwamb, a senior vice president of business development at Kestra Financial, has written an article detailing four steps he believes are crucial in order to successfully transition a practice from one advisory platform to another. 

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LATEST NEWS AND ARTICLES

September 23, 2022
CFP Board Lifts Interim Suspension of Former UBS Advisor

The Certified Financial Planner Board of Standards (CFP Board) has lifted an interim suspension it had imposed against a former UBS advisor after criminal fraud charges against him were recently dismissed.

September 22, 2022
FINRA Penalizes Baird Over $100 Trading Commissions

The Financial Industry Regulatory Authority (FINRA) has ordered Robert W. Baird & Co. to pay $461,481 plus interest due to allegations that the firm overcharged its clients on thousands of equity transactions for at least one year.

September 21, 2022
FINRA Arbitrators Award Nearly $470,000 To Investors in UBS YES Product

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered UBS to pay nearly $470,000 to clients who invested in a complex options strategy, known as the YES or Yield Enhancement Strategy.