| Read Time: 2 minutes | Berthel Fisher Complaints | News & Articles |


William Sines Of Berthel, Fisher & Company Financial Services, Inc. And Formerly With Kalos Capital, Inc. Has 6 Customer Complaints For Alleged Broker Misconduct

Who is William Sines of Berthel, Fisher & Company Financial Services, Inc.?

William Sines

William Sines (CRD #2190586) who is currently registered as a broker and investment adviser with Berthel, Fisher & Company Financial Services, Inc. and located in Seminole, Florida, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Berthel, Fisher & Company Financial Services, Inc., William Sines was associated with Kalos Capital, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Investment Losses? Let’s talk.

or, give us a ring at (800) 732-2889.

William Sines Customer Complaints

William Sines has been the subject of 6 customer complaints that we know about to recover investment losses. Two of the customer complaints were settled by Kalos Capital in favor the investors. The other four complaints were denied by William Sines’ current and former employers and, to date, the customers have not taken any further action.

Allegations Against William Sines

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 and misrepresentations related to REIT investments.
  • Sales pressure to sell annuity and reinvest in a REIT investment.
  • Unsuitable recommendations of mutual funds and REITs.

William Sines Red Flags & Your Rights As An Investor

Of course, William Sines 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 William Sines at Berthel, Fisher & Company Financial Services, Inc. and Kalos Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether William Sines has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Berthel, Fisher & Company Financial Services, Inc. and Kalos Capital, Inc. 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?

best investment fraud lawyers

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.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Berthel, Fisher & Company Financial Services, Inc. Due To William Sines

If you have questions about Berthel, Fisher & Company Financial Services, Inc., Kalos Capital, Inc. and/or William Sines 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.

Author Photo

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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars