fbpx

Sagepoint Financial investigation

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…

read more

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…

read more

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…

read more

RIcky R. Moore-Sagepoint Financial Broker-Discloses Regulatory Suspension/Fine-Angleton, TX

RIcky R. Moore-Sagepoint Financial Broker-Discloses Regulatory Suspension/Fine-Angleton, TX 150 150 Rex Securities Law

May 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 more

Robert S. Graham-Former Capital Investment Group Broker-Subject of Customer Arbitration-Scottsdale, AZ

Robert S. Graham-Former Capital Investment Group Broker-Subject of Customer Arbitration-Scottsdale, AZ 150 150 Rex Securities Law

March 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 more

Renee R. Fields-Former Ameriprise Broker- Discloses Separation From Employment-Dallas, TX

Renee R. Fields-Former Ameriprise Broker- Discloses Separation From Employment-Dallas, TX 150 150 Rex Securities Law

January 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 more

William H. Smathers-NEXT Financial Group Broker-Discloses Prior Customer Disputes

William H. Smathers-NEXT Financial Group Broker-Discloses Prior Customer Disputes 150 150 Rex Securities Law

August  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 more

Dean T. Nicholson-Sagepoint Financial Broker-Discloses Pending Customer Arbitration

Dean T. Nicholson-Sagepoint Financial Broker-Discloses Pending Customer Arbitration 150 150 Rex Securities Law

August  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 more

Sagepoint Financial Hit With Arbitration Award for Allowing Husband to Trade Wife’s Account

Sagepoint Financial Hit With Arbitration Award for Allowing Husband to Trade Wife’s Account 150 150 Rex Securities Law

March 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…

read more

This site is protected by wp-copyrightpro.com