| Read Time: 2 minutes | Kestra Investment Complaints |

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.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $160 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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