William Charles Sines of Seminole Florida a stockbroker formerly registered with Kalos Capital Inc. is referenced in a customer initiated investment related complaint which was resolved for $19,737.00 in damages on March 2, 2018 based upon allegations that unsuitable real estate security and mutual fund recommendations had been made to the customer.
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Sines is referenced in two additional customer initiated investment related disputes pertaining to accusations of Sines’ wrongful conduct during the time that he was associated with SII Investments. In particular, a customer initiated investment related arbitration claim involving Sines’ activities was settled for $36,000.00 in damages supported by allegations that the customer was inappropriately placed in two variable annuity products. National Association of Securities Dealers (NASD) Arbitration No. 02-07379 (Oct. 15, 2003).
On May 25, 2007, a customer filed an investment related complaint concerning Sines’ conduct in which the customer requested damages estimated to exceed $5,000.00 founded on accusations that the customer’s real estate investment trust holdings were not appropriate given their illiquid nature.
Sines’ registration with Kalos Capital Inc. has been terminated on June 28, 2018. Since June 29, 2018, he has been employed by Berthel, Fisher & Company Financial Services, Inc.
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