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SagePoint Financial complaint

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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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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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…

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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…

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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…

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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…

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