There are options for customers of Kestra Investment Services, LLC financial advisor Mitchell Walk (CRD# 3195375) regarding investment losses. Walk has been registered with Kestra Investment Services, LLC in Longwood, Sarasota and St. Augustine, Florida since 2001.
Walk has been the subject of five customer complaints between 2011 and 2017, one of which was denied and one was closed without action, according to his CRD report. Recent customer complaints are regarding direct investment DDP and LP interests and real estate securities:
- August 2017. “Registered representative made unsuitable recommendations and Kestra Investment Services failed to supervise those recommendations.” The customer is seeking $72,000 in damages and the case is currently pending.
- October 2016. “Claim alleging misrepresentations and other causes of action in connection with the sale of various alternative investments in approximately August 2014.” The customer is seeking $350,000 in damages and the case is currently pending.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Kestra Investment Services, LLC may be liable for investment or other losses suffered by Walk’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.