Investors reportedly complained about securities broker James Stafford Morrison (also known as Jim Morrison) [CRD: 1254375, Waco, Texas], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Morrison worked for Kestra Investment Services LLC from October 6, 2003, to April 4, 2025. Read below to discover more about the disclosures […]

Soreide Law Group is investigating possible investor claims against Daniel William Sopher (also known as Daniel Williams Sopher) (CRD: 1254823, Metuchen, New Jersey). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Kestra Investment Services LLC. Evidently, one or more investors alleged misconduct […]

Soreide Law Group is investigating possible investor claims against Mayur Dalal (also known as Mayur T. Dalal) (CRD: 1853077, New Hyde Park, New York). Evidently, FINRA sanctioned the securities broker, who worked for Kestra Investment Services LLC. Allegedly, Dalal failed to testify when FINRA investigated the securities broker for possible FINRA rule violations. Here is […]

Investors Dispute Broker Donald Padilla's Annuity Sales Soreide Law Group is evaluating potential investor claims of sales practice violations against Donald Padilla (CRD#: 3053711, Alhambra, California). Namely, the securities broker, who worked for Kestra investment Services LLC (2015 to 2018) and National Securities Corporation (2018), reports 3 client disputes, 2 bad employment separations and even […]

ATTENTION INVESTORS: Complaints Filed Against Mitchell Brian Walk Mitchell Brian Walk (CRD#: 3195375, Longwood, Florida) is presently a general securities representative of Kestra Investment Services, LLC. Walk, who has been employed with the firm since January 2, 2001, works out of the firm’s Longwood, Florida, Sarasota, Florida and St. Augustine, Florida offices. Notably, Walk disclosed […]