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Alfred Dingler Allegedly Sold Unsuitable Life Insurance Policies

Aug 31, 2022 Unsuitable Investments

Alfred Dingler (CRD #: 2482659), a broker registered with Cetera Advisor Networks, was the subject of a recent dispute, according to his BrokerCheck record, accessed on August 6, 2022. If you want to know more about his conduct as a broker, keep reading.

Investor Dispute

On May 26, 2022, an investor alleged that Alfred Dingler sold unsuitable Allianz life insurance contracts. The client requested the waiver of surrender charges but the dispute was denied by the firm.

However, investors should be aware that firms can deny disputes without an external review. Investors seek out FINRA arbitration following a denial and potentially recover their losses.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to tailor their investment recommendations to suit investors’ profiles. These profiles describe investors’ age, risk tolerance, and investment goals.

Investors who believe their losses are the result of unsuitable investment recommendations may be able to recover their funds by seeking out FINRA arbitration.

Background Information

Alfred Dingler has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination
  • Series 24 – General Securities Principal Examination  

Alfred Dingler is a registered broker in nine states and a registered investment adviser in Georgia.

He has also worked for the following firms:

  • Questar Asset Management (CRD#:133358)
  • Questar Capital Corporation (CRD#:43100)
  • LPL Financial (CRD#:6413)
  • Hartford Equity Sales Company (CRD#:6604)
  • Allmerica Investments (CRD#:3960)

Kurta Law Can Help

If you worked with Alfred Dingler and you have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.