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Articles Tagged with Sagepoint Financial

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 7, 2019 indicate that Texas-based SagePoint Financial broker/adviser Daniel Dillard has been the subject of a FINRA sanction in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Dillard (CRD# 4289333). […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 28, 2018 indicate that Kansas-based Sagepoint Financial broker/adviser Marvin Fisher has received a pending customer complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Fisher (CRD# 1159428). Marvin Fisher has spent 35 years in the […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 26, 2018 indicate that California-based Sagepoint Financial broker/adviser Peter Shusterman has received customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Shusterman (CRD# 1460819). Peter Shusterman has spent 32 years in the securities industry […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2017 indicate that former Florida-based Sagepoint Financial broker Gerolyn Shapiro, also known as Gerolyn Beebe and Gigi Shapiro, has been involved in a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Shapiro […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 31, 2017 indicate that Idaho-based Sagepoint Financial broker/adviser Timothy Van Lohuizen has received several resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Van Lohuizen (CRD# 2166867). Timothy Van Lohuizen has […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on May 9, 2017 indicate that Texas-based Sagepoint Financial broker/adviser Ricky Moore has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Moore (CRD# 2574634). Ricky Moore has spent 22 […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on January 31, 2017 indicate that Idaho-based Sagepoint Financial broker/adviser Timothy Vanlohuizen has been the subject of resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Vanlohuizen (CRD# 2166867). Timothy Vanlohuizen has spent 25 years in […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 16, 2016 indicate that Pennsylvania-based Sagepoint Financial broker/adviser Jay Adams has received a customer complaint and a regulatory sanction. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Adams (CRD# 2799510). […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that Texas-based Sagepoint Financial broker/adviser Ricky Moore is the subject of a pending FINRA complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Moore (CRD# 2574634). Ricky […]

Public available records published by the Financial Industry Regulatory Authority (FINRA) on June 22, 2016 indicate that former South Carolina-based Sagepoint Financial broker Timothy Dufresne, who has been permanently barred from associating with firms that sell securities to the public, is the subject of a pending customer complaint. The securities and investment fraud law firm […]

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