Sergio Kindler Involved In Royal Alliance Associates Investor Dispute About Unsuitable Advice

Investors potentially incurred losses because of securities broker Sergio Kindler [CRD: 1690597, Jericho, New York], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Sergio Kindler has been registered with Osaic Wealth Inc. since February 24, 2022, and previously worked for LPL Financial LLC from February 14, 2018, through March 23, 2022. Investors are encouraged to keep reading to discover more about the disclosures involving Kindler.

Royal Alliance Associates Investor Accused Kindler Of Omissions

Specifically, on July 28, 2025, a Royal Alliance Associates Inc. client filed FINRA Arbitration No. 25-01539 regarding Sergio Kindler. Primarily, the client alleged that Kindler made unsuitable recommendations and omissions. Because of this, the client allegedly sustained damages related to mutual funds. Consequently, the client requested between $100,000 and $500,000 in compensation from Royal Alliance Associates Inc. or Kindler. It appears that this arbitration is ongoing.

Sergio Kindler Disclosed Customer Loan Allegations By 21st Century Financial Services Client

Evidently, a client of 21st Century Financial Services contested Sergio Kindler’s conduct, according to a complaint dated July 16, 2007. Allegedly, the client claimed that Kindler borrowed securities and never returned the shares or compensated the client for them. It appears that the client allegedly experienced damages involving stocks. Therefore, the client sought compensation from 21st Century Financial Services or Kindler in the amount of $100,000 in this matter. According to FINRA, the complaint was closed on August 20, 2007, with no action taken.

21st Century Financial Services Inc. Investor Accused Kindler Of Unsuitable Recommendations

Notably, a 21st Century Financial Services Inc. client filed NASD Arbitration No. 04-00556 about Sergio Kindler. Mainly, the client alleged that Kindler made unsuitable recommendations. For this reason, the client allegedly incurred damages connected to mutual funds. As a result, on March 5, 2004, 21st Century Financial Services Inc. settled this matter by paying the client $15,000 in damages.

Sergio Kindler Disclosed Unsuitable Advice Allegations By 21st Century Financial Services Inc. Client

Particularly, a client of 21st Century Financial Services Inc. disputed Kindler’s sales practices by filing FINRA Arbitration No. not provided. Allegedly, Kindler made unsuitable recommendations. It appears that Kindler caused the client to sustain damages associated with mutual funds. Consequently, 21st Century Financial Services Inc. opted to settle the matter on February 5, 2003, by compensating the client in the amount of $7,500.

Did You Invest With Financial Advisor / Securities Broker Kindler?

Are you concerned about investments you made through Sergio Kindler? If so, reach out to Soreide Law Group at (888) 760-6552 or online and talk with a securities attorney regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm represents investors on a contingency fee basis and advances all costs. Kindler and brokerage firms Kindler worked for deny accusations of sales practice violations.