Public records published by the Financial Industry Regulatory Authority (FINRA) on April 25, 2018 indicate that Florida-based Kalos Capital broker/adviser William Sines has received customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Sines (CRD# 2190586).
William Sines has spent twenty-six years in the securities industry and has been registered with Kalos Capital in Seminole, Florida since 2015. Previous registrations include SII Investments in Seminole, Florida (1997-2015); Pruco Securities Corporation in Newark, New Jersey (1991-1997); and the Prudential Insurance Company of America in Newark, New Jersey (1991-1993). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 17, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 12, 1994; Series 62 (Corporate Securities Limited Representative Examination), which he obtained on July 27, 1998; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on October 31, 1991; and Series 24 (General Securities Principal Examination), which he obtained on September 16, 1999. He is a registered broker and investment adviser with 12 US states and territories: Arizona, Colorado, Florida, Indiana, Massachusetts, Michigan, New York, North Carolina, Ohio, Pennsylvania, Virginia, and Washington.
According to his BrokerCheck report, he has received two customer complaints and one denied customer complaint.
In 2017 a customer alleged William Sines, while employed at Kalos Capital, recommended unsuitable investments. The complaint settled in 2018 for $19,737.
In 2007 a customer’s power of attorney alleged William Sines, while employed at SII Investments, recommended unsuitably illiquid real estate investment trusts. The claimant sought unspecified damages in the complaint, which was denied.
In 2002 a customer alleged William Sines, while employed at SII Investments, made improper and unsuitable sales of two variable annuity products. The complaint, from which he was dismissed, settled in 2003 for $36,000.
If you have lost money investing with William Sines, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.