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SagePoint Financial

Royal Alliance, Sagepoint, FSC, Woodbury, Triad, Securities America and Others Are Now Osaic Wealth

Royal Alliance, Sagepoint, FSC, Woodbury, Triad, Securities America and Others Are Now Osaic Wealth 150 150 Rex Securities Law

“Osaic Wealth” Is The Rebrand for Eight Broker Dealers August 2023 According to recent press, Advisor Group, one of the largest networks of independent broker dealers with more that 11,000…

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Janie Garza-Clark-Former TCFG Wealth Management Broker-Barred From Securities Industry by Regulators – Scottsdale, AZ

Janie Garza-Clark-Former TCFG Wealth Management Broker-Barred From Securities Industry by Regulators – Scottsdale, AZ 150 150 ER

Janie Garza-Clark Investigation March 2023-Scottsdale, AZ  According to publicly available records Janie Garza-Clark , a former broker who last worked for TCFG Wealth Management,  discloses a final regulatory matter resulting in…

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Michael Gianetti-Former MML Investor Services Broker-Barred from FINRA- McKinney-TX

Michael Gianetti-Former MML Investor Services Broker-Barred from FINRA- McKinney-TX 150 150 ER

Micheal Gianetti Investigation February 2023-McKinney, TX The FINRA records of  Micheal Gianneti,  a former MML Investor Services broker, disclose that he is permanently barred from FINRA. The Financial Industry Regulatory Authority (FINRA)…

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David Melilli- Former Cambridge Investment Broker-Barred From Industry by Securities Regulator-Moorestown, NJ

David Melilli- Former Cambridge Investment Broker-Barred From Industry by Securities Regulator-Moorestown, NJ 150 150 ER

David Melilli Investigation April 2022- Moorestown, NJ The FINRA records of  David J. Melilli ,  a  former financial advisor who was last employed by Cambridge Investment Research and Sagepoint Financial, Inc.,…

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Daniel Dillard-Former Sagepoint Broker-Discloses $1.5M Suit Over Private Placement-Austin, TX

Daniel Dillard-Former Sagepoint Broker-Discloses $1.5M Suit Over Private Placement-Austin, TX 150 150 Rex Securities Law

July 2021- Austin, TX According to publicly available records, former Sagepoint Financial financial advisor Daniel Dillard,  discloses a regulatory event, 2 pending customer disputes, a termination from employment and an outstanding…

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Jerry Wells-Former Sagepoint Securities Broker-Discloses Customer Disputes & Regulatory Event-Rochester, NY

Jerry Wells-Former Sagepoint Securities Broker-Discloses Customer Disputes & Regulatory Event-Rochester, NY 150 150 Rex Securities Law

April 2021- Rochester, NY According to publicly available records Jerry Michael Wells (CRD#1015358), a stockbroker previously registered with Sagepoint Financial,  discloses a regulatory event,  4 final customer disputes and a…

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Christopher “Cubby” Bice -Sagepoint Financial Broker-Discloses 3 Pending Customer Disputes and a Termination- Phoenix, AZ

Christopher “Cubby” Bice -Sagepoint Financial Broker-Discloses 3 Pending Customer Disputes and a Termination- Phoenix, AZ 150 150 Rex Securities Law

April 2021- Phoenix, AZ According to publicly available records Christopher  R. “Cubby” Bice (CRD#3222439), a stockbroker employed with Sagepoint Financial, Inc.  discloses three pending customer disputes and a termination from…

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Jody Bowers-Former SagePoint Financial Broker-Subject of $6M Customer Suit Over ETF Investments-Abilene, TX

Jody Bowers-Former SagePoint Financial Broker-Subject of $6M Customer Suit Over ETF Investments-Abilene, TX 150 150 Rex Securities Law

June 2019- Abilene, Texas We are currently investigating former SagePoint Financial financial advisor Jody Bowers on behalf of an elderly widow living in North Texas, who anticipates filing a FINRA…

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Daniel Dillard- Sagepoint Financial Broker-Discloses Regulatory Event & Termination From Employment-Austin, TX

Daniel Dillard- Sagepoint Financial Broker-Discloses Regulatory Event & Termination From Employment-Austin, TX 150 150 Rex Securities Law

July 2021– Follow this link for update on Daniel Dillard.   February 2019 – Austin, TX According to publicly available records Daniel Dillard  (CRD#4289333) ,  a  stockbroker who is currently registered with Sagepoint…

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