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 employment.
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 July of 2020 a Sagepoint Financial, Inc. customer alleged that a real estate private placement was unsuitable and is seeking damages of $300,000. FINRA Case 20-2400.
In November of 2018, a Sagepoint Financial, Inc. customer alleged unsuitable investment recommendations, investment over concentration, misrepresentation and failure to supervise in connection with the purchase of an annuity. The alleged damages are $1,000,000 . FINRA Case 18-3861.
In February 2018, a Sagepoint Financial, Inc., customer alleged unsuitable investment recommendations, investment over-concentration, misrepresentative and failure to supervise in connection with the purchase of an annuity and a real estate investment. The alleged damages are $750,000 . FINRA Case 18-3592.
Earlier in his career, in April of 2002, Bice was terminated from employment with USB Paine Webber after allegations that he had directed an employee to sign clients’ names to a new account documents.
Bice had been employed with Sagepoint Financial,Inc. since 10/2005. Before that he was employed by SunAmerica Securities, Inc,, Centermark Advisory Services, Inc., A.G Edwards & Sons and UBS Paine Webber, Inc.
If you had an account with Christopher “Cubby” Bice of Bice Wealth Management that suffered losses, you may be entitled to collect damages from his prior employer. Call to discuss your 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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