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Timothy Dufresne, Sagepoint Financial, is Permanently Barred
FINRA records confirm that former Sagepoint Financial broker Timothy Dufresne, in South Carolina, has been permanently barred from the securities industry and from giving ...
Read moreSagepoint Financial fines in 2013
Sagepoint Financial stockbroker Guy Weber, of Missouri, was fined $700,000 for failing to supervise one of its brokers, Guy F. Weber. Guy Weber in ...
Read moreSagepoint Financial fines in 2011
Sagepoint Financial was fined $300,000 by regulators for failing to use an adequate supervisory system. From November 2003 and August 2008, Sagepoint Financial offered ...
Read moreSagepoint Financial fines in 2010
Sagepoint Financial was fined $215,000 by regulators and order to pay $203,000 in restitution to customers when Sagepoint Financial failed to reasonably supervise its ...
Read moreSagepoint Financial fines in 2008
Sagepoint Financial lost more than $125,000 in an award against Sagepoint Financial. The customer alleged Sagepoint Financial misrepresented material facts, made unsuitable investment recommendations, ...
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