John W. Spach Investigation

Former Financial Advisor John W. Spach, Kestra Investment Services, Barred According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former Kestra financial advisor John W. Spach from associating with any FINRA member at any time. A Letter of Acceptance Waiver & Consent posted on FINRA’s website alleges that Spach refused to produce documents and information in FINRA’s investigation of allegations by a former customer.  In doing so, he was reportedly permanently barred from the securities industry. According to his FINRA Broker Check Report, Spach was registered with Kestra Investment Services in Aliso Viejo, CA from August 2014 until he was discharged in June 2018. According to FINRA, alleged violations included “co-mingling client assets with his own personal assets, breach of fiduciary duty (to include unsuitable investment advice, material misstatements, and failure to disclose material conflicts of interest),…

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