What current and prospective clients should know about complaints and regulatory actions against SagePoint Financial SagePoint Financial (CRD#: 133763) is a brokerage firm and investment[...]
SagePoint Financial
Bowman’s unsuitable recommendations allegedly caused his customers to incur unnecessary sales charges. Gary Max Bowman (CRD#: 2035699) is registered as a broker and investment adviser[...]
The client is seeking $950K in damages for Garza-Clark’s alleged misconduct. Janie Garza-Clark (CRD#: 1010752) was registered as a broker with TCFG Wealth Management from[...]
Bice has three customer disputes currently pending against him. Christopher “Cubby” Bice (CRD#: 3222439) is registered as a broker and financial advisor with SagePoint Financial,[...]
FINRA was investigating Birkley’s admission that he made referrals to an outside asset manager without approval. Grant Christopher Birkley (CRD: 2933533) was registered as a[...]
Melilli is also accused of making unauthorized trades and forging customer signatures on account documents. David John Melilli (CRD: 5254172) was registered as a broker[...]
Bice has three customer disputes currently pending against him. Christopher “Cubby” Bice (CRD#: 3222439) is registered as a broker and financial advisor with Sagepoint Financial,[...]
FINRA accused Baily of engaging in undisclosed and unapproved private securities transactions. The Sonn Law Group is investigating allegations that Troy Baily committed misconduct. If[...]
Vanlohuizen is accused of unsuitable investment recommendations, among other misconduct. The Sonn Law Group is investigating allegations that Timothy Jan Vanlohuizen made unsuitable recommendations. If[...]
O’Hara consented to a nine-month suspension and a $10,000 fine for his misconduct. The Sonn Law Group is investigating allegations that Frederic O’Hara engaged in[...]