Call Now For a Free Consultation:
(614) 532-4576
Nationwide Representation

SagePoint Financial, Inc.

Consult with Our Legal Team
There is never a cost associated with a consultation
Brokerage Firms
For The Advocacy You Deserve Contact Us Today!
We’ll respond and let you know the best way to proceed with your case.

Losses Caused by SagePoint Financial, Inc. Misconduct

Did You Invest With Sagepoint or Its Registered Brokers?

SagePoint Financial, Inc. is one of the largest networks of independent broker dealers in the nation. It has been in operation for more than 40 years. SagePoint has about 1,720 advisors throughout the United States, 600 of them of which are stationed at SagePoint's home office in Phoenix, Arizona.

The company offers a wide range of investments in the following categories:

  • Mutual Funds
  • Variable Annuities
  • Insurance
  • Alternative Investments

Because of the open structure at SagePoint, advisors have the freedom to work from home. SagePoint clears through firms such as Pershing, LLC and National Financial Services. Although SagePoint advisors are more independently structured than other stockbrokers and investment advisers, they are still held to the same standards.

If you entrusted your money to a SagePoint broker/advisor and you lost a substantial amount of money, you may have a claim. Call Meyer Wilson today.

SagePoint Advisor Misconduct

SagePoint has a checkered history – 20 disciplinary actions are listed on FINRA's website from the years 2010-2014. The most recent disciplinary action was filed on August 26, 2014. Craig Shiver Smith was associated with SagePoint financial from 11/2009 until 8/2013 when he was fired. FINRA filed actions against Smith stating that he engaged in unauthorized trading in violation of FINRA Rule 2010.

Another recent example is from June 9, 2014 when FINRA's enforcement department filed a notice to Steven Allan Snapp. Snapp had been a registered broker since 1983 and was registered with SagePoint as well as two other firms. FINRA accused Snapp of borrowing from a customer, misrepresentation, and failure to report, all violations of securities regulations.

Recover Your Losses With a Securities Litigation Attorney

Did you invest your money with SagePoint Financial Inc. or one of its registered advisors? If you did and you lost a substantial amount of money, contact an investment loss lawyer at Meyer Wilson. We handle cases throughout the nation for investors who have lost money through stockbroker fraud and misconduct. We can handle litigated cases as well as arbitrated cases. Contact us today to discuss your case.

Atlanta Office

945 East Paces Ferry Road, Suite 2275
Atlanta, GA 30326
Columbus Office

614-224-6000
305 W. Nationwide Blvd
Columbus, OH 43215
Meyer Wilson
New Orleans Office

900 Camp Street 
Suite 337
New Orleans, LA 70130
Los Angeles Office

310-905-8688
2029 Century Park East,
Suite 400N
Los Angeles, CA 90067
Cleveland Office

216-600-1355
4781 Richmond Rd.
Suite 400
Warrensville Heights, OH 44128
Bloomfield Hills Office

248-817-8214
41000 Woodward Ave.,
Suite 350
Bloomfield Hills, MI 48304
Quick Links
The information contained in this Website is provided for informational purposes only, and should not be construed as legal advice on any subject matter. No recipients of content from this site, clients or otherwise, should act or refrain from acting on the basis of any content included in the site without seeking the appropriate legal or other professional advice on the particular facts and circumstances at issue from an attorney licensed in the recipient's state. Read More
The information contained in this Website is provided for informational purposes only, and should not be construed as legal advice on any subject matter.
Read More
crosschevron-down linkedin facebook pinterest youtube rss twitter instagram facebook-blank rss-blank linkedin-blank pinterest youtube twitter instagram