Financial Advisor Complaints

Erik Pinter, an established stockbroker employed by LPL Financial in Appleton, WI, is currently under investigation with regards to a customer dispute. This is not a light matter, as the customer has alleged Pinter made wholly unsuitable investment recommendations that disregarded the customer’s expressed investment objectives and risk tolerance. As an investor, you entrust a […]

As a seasoned financial analyst and legal expert, I’m keen to shed some light on an investor dispute involving Cataldo Panici (CRD #: 2112617), a broker affiliated with WinTrust Investments. According to his BrokerCheck record, we see a recent dispute raising questions about the broker’s conduct, his treatment of customers, and the alleged significant losses

Drawing from my years of experience in financial analytics and legal practice, I am obliged to discuss a recent case that involves industry transgressions that investors should take note of. I am referring to John Sebastian Cangialosi Jr., a financial advisor [(CRD: 3273830, New York, New York)](https://brokercheck.finra.org/). He initially worked with SW Financial before moving

As a predominant figure navigating the intricate lanes of finance and law, I can’t help but notice the case of Max Birkinbine (CRD #: 6836583), whose name has been making waves amongst investors. Registered with Ausdal Financial Partners, his recent investor dispute made me pause and reflect on the seriousness of the allegations he’s facing.

Let’s talk about an issue that has rocked the investment community lately: the Financial Industry Regulatory Authority (FINRA) 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 indicates a severe