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 2018 at 06:28 AM in Questions about a business

tommike32

If you have a complaint against a financial advisor, document all interactions and gather relevant evidence. Clearly outline the issue and try resolving it directly with the advisor or their firm. If unresolved, escalate to regulatory bodies like FINRA or your country’s financial ombudsman. Protecting your financial interests is a priority.

https://celinewilliams.myrealtyonegroup.com/
on June 18 2025 at 04:14 PM
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5 Answer(s)
Collect all relevant documents, including contracts, statements, emails, and notes from meetings.
Oisua Nasyue on April 17 2025 at 04:00 AM
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You can definitely file a complaint in Vermont—start with the Department of Financial Regulation, since they handle issues with financial professionals. It's also worth reaching out to the Consumer Assistance Program run by the Vermont Attorney General’s Office. If your advisor is connected to mr cooper or handling anything related to your mortgage or financial products through them, they should be held accountable just the same. Be sure to gather any paperwork or emails you’ve got—it’ll help your case. You're not alone in this; a lot of folks run into similar issues.
Lingangu on March 28 2025 at 01:56 AM
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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 2024 at 01:52 PM
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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 2024 at 02:52 AM
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You can file a complaint in going on this link : https://www.finra.org/investors/file-complaint
 
George Weston on October 27 2018 at 06:34 AM Edited
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