{"id":8290,"date":"2019-05-28T16:58:33","date_gmt":"2019-05-28T20:58:33","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=8290"},"modified":"2019-05-28T16:58:33","modified_gmt":"2019-05-28T20:58:33","slug":"john-spach-kestra-investment-services","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/john-spach-kestra-investment-services\/","title":{"rendered":"FINRA Bars John Spach After Various Misconduct Allegations"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-8292 size-medium\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/05\/Barred-1-300x200.jpg\" alt=\"John Spach (CRD#: 2731192) is a former registered broker and investment advisor whose last known employer was Kestra Investment Services, LLC (CRD#: 42046) of Aliso Viejo, CA. His previous employers include Financial Telesis Inc (CRD#: 31012) and Financial West Group (CRD#: 16668), both of Westlake Village, CA, and Sentra Securities Corporation (CRD#: 10249) of Phoenix, AZ. He has been in the industry since 1996.Spach has three disclosures, all within a one-year time frame. The first was filed on 2\/6\/2018, after Spach introduced a non-firm client of his own independent registered investment advisor (RIA) to an outside investor. This client invested $450,000 into a promissory note with the outside investor. This activity took place completely outside of Kestra\u2019s auspices, and the note later defaulted. The client informed Spach of the defalt, and Spach agreed to settle the account and reimburse the client for the full $450,000, plus interest until paid.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/05\/Barred-1.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/05\/Barred-1-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>John Spach (CRD#: <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/2731192\" target=\"_blank\">2731192<\/a>) is a former registered broker and investment advisor whose last known employer was Kestra Investment Services, LLC (CRD#: 42046) of Aliso Viejo, CA. His previous employers include Financial Telesis Inc (CRD#: 31012) and Financial West Group (CRD#: 16668), both of Westlake Village, CA, and Sentra Securities Corporation (CRD#: 10249) of Phoenix, AZ. He has been in the industry since 1996. <a href=\"https:\/\/www.silverlaw.com\/blog\/john-spach-kestra-investment-services\/#more-8290\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>John Spach (CRD#: 2731192) is a former registered broker and investment advisor whose last known employer was Kestra Investment Services, LLC (CRD#: 42046) of Aliso Viejo, CA. His previous employers include Financial Telesis Inc (CRD#: 31012) and Financial West Group (CRD#: 16668), both of Westlake Village, CA, and Sentra Securities Corporation (CRD#: 10249) of Phoenix, [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577,580],"tags":[],"class_list":["post-8290","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>FINRA Bars John Spach After Various Misconduct Allegations &#8212;<\/title>\n<meta name=\"description\" content=\"John Spach is a former registered broker and investment advisor whose last known employer was Kestra Investment Services of Aliso Viejo, CA.\" \/>\n<meta name=\"robots\" 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