Financial Advisor Complaints

Let’s talk about an issue that has rocked the investment community lately: the Financial Industry Regulatory Authority (file a FINRA complaint) barring of John Engler Sr (FINRA CRD#: 835827) from affiliating with any of its members. Now, this isn’t a small matter. I’ve been in this industry long enough to know that such a decision […]

When it comes to the securities business, transparency and trustworthiness are of paramount importance. So it comes as a shock when a trusted broker, such as John Aloysius Dougherty, falls from grace. Famous investor Warren Buffet once stated, “It takes 20 years to build a reputation and five minutes to ruin it.” This has eerily

As an informed voice in the tricky world of finance, I find it crucial to discuss recent developments and allegations that may affect the investing community. I’d like to discuss a recent situation involving a prominent stockbroker, Mr. David Lloyd Kaiser, currently associated with Cambridge Investment Research, including his groups Financial Planning Alternatives and PInnacor Financial

Andrew Sinsigalli, a registered broker with Merrill Lynch, Pierce, Fenner & Smith, has recently been hit with an investor FINRA arbitration what to expect that should give all investors considering his services pause. According to his BrokerCheck record, it isn’t the first time this broker has been in hot water, hinting at a concerning trend