The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Idaho-based Sagepoint Financial broker/adviser Arthur Ortman (CRD# 2267117).
Arthur Ortman has spent 23 years in the securities industry and has been registered with Sagepoint Financial in Meridian, Idaho since 2005. Previous registrations include SunAmerica Securities in Phoenix, Arizona (1997-2005) and Mariner Financial Services in Largo, Florida (1992-1997). He is a registered broker and investment adviser with 25 US states and territories, including Arizona, California, Florida, Maine, Minnesota, Nebraska, Ohio, Oregon, Texas, and Washington.
According to his BrokerCheck report, Arthur Ortman is the subject of three customer complaints.
In February 2015 a customer alleged Arthur Ortman, while employed at Sagepoint Financial, failed to supervise his representatives and permitted the execution of unsuitable and excessive trades. The complaint settled in January 2016 for $37,500.
In 2002 a customer alleged Arthur Ortman, while employed at SunAmerica Securities, recommended unsuitable investments, failed to diversify the customer’s account, and did not closely monitor the account. The complaint settled in 2003 for $15,000.
In 2000 a customer alleged Arthur Ortman, while employed at SunAmerica Securities, provided misinformation about tax matters, failed to change the beneficiary of a client’s IRA prior to her death, and caused “undue tax consequences.” The complaint settled for more than $3,300.
If you or someone you know has complaints regarding Arthur Ortman, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.