SagePoint Financial

SagePoint Financial Fined Over $1 Million – Investor Notice

SagePoint Financial Fined Over $1 Million - Investor Notice

FINRA has ordered SagePoint Financial to pay over one million in restitution to its customers in connection with early rollovers of unit investment trusts. Sagepoint Financial is one of several large broker-dealer firms within the Advisor Group network (along with FSC Securities, Royal Alliance Associates, …

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SagePoint Financial GPB Capital Losses Investigated

SagePoint Financial GPB Capital

SagePoint Financial is currently being investigated by Haselkorn & Thibaut (InvestmentFraudLawyers.com) for their sales of GPB Capital Holdings to investors by financial advisors. GPB Capital has been accused of running a “Ponzi Scheme” and misusing funds. This comes after nearly two years of lawsuits, a …

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Triad Advisors Investigated Regarding GPB Capital Investor Claims

Triad Advisors Investigated Regarding GPB Capital

Ladenburg Thalmann’s most recent quarterly SEC filing reflects that Triad Advisors, one of its brokerage firms is currently the subject of six Financial Industry Regulatory Advisory (FINRA) customer arbitration complaints relating to sales of GPB Capital private placements. GPB Capital has been accused of operating …

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