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Mark Yadron Of Kestra Investment Services, LLC And Formerly With Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 6 Customer Complaints For Alleged Broker Misconduct

Who is Mark Yadron of Kestra Investment Services, LLC?

Mark Yadron

Mark Yadron (CRD #1520648) who is currently registered as a broker and investment advisor with Kestra Investment Services, LLC and located in Prescott, Arizona, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Kestra Investment Services, LLC, Mark Yadron was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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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:

  • Unsuitable investment recommendations of equity listed stocks.
  • Unauthorized purchase of bonds.
  • Unauthorized sale of common stock.
  • Unauthorized trading. Purchases of closed-end funds was unauthorized.
  • Unsuitable investment recommendations of mutual funds.

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?

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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.

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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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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 $170 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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