Financial Advisor - Complaint

I want to complaint against my financial advisor but I don't know if it's possible and, if yes, where to do it ? I am in Vermont.
David Scott on October 27 at 06:28 AM in Questions about a business
10 Answer(s)
Best answer
 

To file a complaint against your financial advisor in Vermont, contact the Department of Financial Regulation or the financial institution they are associated with. They can guide you through the process.

Brenda Gray on July 03 at 07:53 AM

In Vermont, you can file a complaint against your financial advisor through the Vermont Department of Financial Regulation (DFR). The DFR oversees financial services and ensures advisors adhere to legal standards. You can also report unethical practices to the Financial Industry Regulatory Authority (FINRA). It's essential to gather all relevant documents before submitting a complaint. Construction Accident Attorneys

 
 
tommike32 on September 24 at 01:52 PM

Certainly! If you’re looking to file a complaint against your financial advisor in Vermont, you have a few options. Here’s what you can do:

  1. Department of Financial Regulation (DFR): The DFR assists consumers in understanding their options in the industries of banking, insurance, and securities. They investigate complaints filed by citizens against insurance, securities, and banking companies, as well as credit unions, mortgage brokers, and consumer finance products. You can file a complaint with the DFR if you have issues related to:

    • Banking: This includes financial institutions such as banks, credit unions, lenders, mortgage brokers, sales finance companies, debt adjusters, and money servicers that are registered in Vermont. You can file a complaint about any of these entities.
    • Insurance: If you have problems with an insurance company or agent doing business in Vermont (including auto, homeowners, life, annuity, major medical, dental, long-term care, medicare supplement, or other types of coverage), you can file a complaint.
    • Securities: If you’re dealing with an investment advisor or broker-dealer related to stocks, bonds, promissory notes, settlements, variable annuities, mutual funds, or other investments, you can file a securities complaint.
    • Healthcare External Appeal: If your healthcare services were denied, you may have the right to get an independent review of that decision.
  2. Banking Fraud: If you suspect banking fraud or have been a victim of it, you can contact the DFR Banking Division Consumer Services by email at dfr.bnkconsumer@vermont.gov or by phone at 802-828-3307.

patrick rall on May 07 at 02:52 AM
You can file a complaint in going on this link : https://www.finra.org/investors/file-complaint
 
George Weston on October 27 at 06:34 AM Edited
You can get a complaint form online 
oilumiun on November 09 at 10:11 PM

I recently had an experience with an online financial advisor that left me feeling frustrated. The main issue was their lack of responsiveness. It took days to get a reply to my questions, and sometimes they even missed deadlines. Communication is essential when it comes to financial matters, and their unresponsiveness made me uneasy. Additionally, there was a lack of transparency in their fee structure. Hidden charges appeared, which weren't disclosed upfront. This lack of clarity on fees is a serious concern for me. Overall, I believe a good online financial advisor should prioritize communication and transparency to build trust with their clients. So I found guys providing Online Bookkeeping assist. Highly recommended to prevent such issues.

 
 
Chris Yioung on September 18 at 06:27 AM
Please collect all the evidence that is beneficial to you before making a complaint
pinliver on September 13 at 05:15 AM
In Vermont, if you wish to file a formal complaint against a financial advisor, you can do so through the Vermont Department of Financial Regulation (DFR). The DFR oversees various financial services and ensures that consumer interests are protected. slot gacor
milestone on August 27 at 01:58 AM
make sure you have the most favorable evidence 
mayo mayo on June 16 at 06:15 AM
Just file a complaint.
Alan Falvo on April 13 at 03:46 AM