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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, and (again) failed to supervise its broker. (April 2008).

Sagepoint Financial lost an arbitration for more than $400,000 for failure to supervise its brokers. The claim alleged Sagepoint Financial breached its fiduciary duty, misrepresented material facts, failed to supervise its brokers, and was negligent. (February, 2008).


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