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Sagepoint Financial fines in 2011

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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 ...

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Sagepoint Financial fines in 2010

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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 ...

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Sagepoint Financial fines in 2008

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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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