Daniel Dillard: FINRA Sanction, Tax Lien Against SagePoint Rep

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).…

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Marvin Fisher: Investor Complaint Alleges Annuity Misrepresentation

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…

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Customer Alleged Gerolyn Shapiro Recommended an Unsuitable Variable Life Insurance Product

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…

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Timothy Van Lohuizen Received a Complaint for Providing Inaccurate Advice Regarding a Benefit Account

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…

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Ricky Moore: Sanctioned Following Allegations of Involvement in Outside Business Activity

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…

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Timothy Vanlohuizen Has Received a Pending Customer Comlaint

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…

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Jay Adams Sanctioned by the State of Pennsylvania

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).…

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Ricky Moore Has Pending Regulatory Sanction

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…

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Timothy Dufresne Permanently Barred from Securities Industry

/contact-us.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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Timothy Dufresne is Permanently Barred

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 19, 2016 indicate that former South Carolina-based Sagepoint Financial broker Timothy Dufresne has been permanently barred from associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who…

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