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…
read moreApril 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…
read moreJune 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…
read moreMay 2017-Angleton, TX The FINRA records of RIcky R. Moore, a stockbroker who is employed by Sagepoint Financial disclose a final regulatory event, 3 prior customer disputes and a termination from employment. The Financial Industry Regulatory Authority…
read moreMarch 2019-Scottsdale, AZ The FINRA records of Robert S. Graham , a stockbroker who is currently unregistered and who last was employed by First Allied Securities, disclose a regulatory event and a…
read moreJanuary 2017-Dallas, Texas The FINRA records of Renee Rochelle Fields, a stockbroker currently employed by Sagepoint Financial disclose a separation from employment after allegations. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…
read moreAugust 2016-The Villages, Florida The FINRA records of William H. Smathers , a stock broker who is currently employed by NEXT Financial Group , disclose 9 prior final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreAugust 2016-Summerfield / The Villages, Florida The FINRA records of Dean T. Nicholson , a stock broker who is currently employed by Sagepoint Financial, dba Elliott Wealth Management Services , disclose a prior final regulatory event, a prior customer…
read moreMarch 3, 2016- Des Moines, Iowa A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered Sagepoint Financial to pay $57,500 to a wife who brought the action against Sagepoint alleging…
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