February 2019 – Austin, TX
According to publicly available records Daniel Dillard (CRD#4289333) , a stockbroker who is currently registered with Sagepoint Financial disclose a regulatory event , a termination from employment and a pending outstanding judgement.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In 9/2015, Dillard was suspended for 3 months and fined $5,000 to resolve allegations that he reused a third party’s signature on a form submitted to his employer LPL Financial regarding payment of commissions.
According to the public information on Dillard’s FINRA records he has an outstanding lien to the Internal Revenue Service of $59,428.
Dillard has been employed with Sagepoint Financial since April 2013. He was with LPL Financial from July 2004 until 4/2013, when he was discharged for submitting an altered document regarding his commission split.
If you have questions about an investment account handled by Daniel Dillard, contact us for a no charge consultation to learn about your legal options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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