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.