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Tag: SagePoint Financial

Broker Investigations, FINRA SEC Sanctions

Juan Carlos Sosa Barred by FINRA 

Juan Carlos Sosa Allegedly Converted Customer’s Funds According to a letter of acceptance on March 19, 2024, the Financial Industry...

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Blog, FINRA SEC Sanctions

Osaic Wealth: Regulatory Overview

The White Law Group reviews the regulatory history of Osaic Wealth.  Osaic Wealth (CRD#: 23131/SEC#: 801-54859,8-40218), based in Jersey...

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FINRA SEC Sanctions, Securities Fraud Articles

SagePoint Financial Regulatory History Overview

The White Law Group reviews the regulatory history of SagePoint Financial.     SagePoint Financial...

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Blog, Current Investigations

FINRA Fines Sagepoint Financial, Inc. For Suitability Issues 

Sagepoint Reportedly Sanctioned for Supervisory Failures involving Unsuitable use of Margin  According to public disclosures, the...

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FINRA Sanctions Four Firms for VA Sales

Royal Alliance, FSC Securities, SagePoint , Woodbury Financial Censured & Fined According to the Financial Industry Regulatory...

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Blog, Securities Fraud Articles

Top Independent Broker-Dealers According to Investment News

RANK Broker-dealer Total gross revenues 1 LPL Investment Holdings Inc. $2.8B • LPL Financial One Beacon St. Boston, MA 02108 joinlpl.com...

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