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Category Sagepoint Financial, Inc.

Sagepoint Financial Advisor Cynthia Komarek Barred by FINRA After Refusing Request for Information During Investigation For Making Referrals To Outside Manager

July 23, 2021

Cynthia Komarek (CRD#: 1188714), also known as Cynthia Brown, Cynthia Brown Komarek, and Cynthia Brown Pearson) was a previously registered Broker and Investment Advisor at Sagepoint Financial, Inc., in Barrington, IL. She entered the securities industry in 1983 and previously worked for Wells Fargo Clearing Services, LLC; Merrill Lynch, Pierce, Fenner & Smith, Inc.; Lehman…

Sagepoint Financial Advisor, Gary Bowman, Sanctioned By FINRA For Unit Investment Trust Violations?

July 12, 2021

Gary Bowman (CRD 2035699) has been in the securities industry since 1990 and is currently registered with Sagepoint Financial. Gary Bowman was previously registered with Arque Capital and Fox & Co. Investments. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on July 1, 2021, Gary Bowman was sanctioned by FINRA…

SagePoint Financial Advisor Grant Birkley Barred by FINRA After Refusing to Aid Investigation into Allegedly Referring Customers To Outside Asset Manager

June 23, 2021

Grant Birkley (CRD#: 2933533) is a previously registered Broker and Investment Advisor at SagePoint Financial, Inc. in Barrington, IL. He entered the securities industry in 1998 and previously worked for Wells Fargo Clearing Services, LLC; Merrill Lynch, Pierce, Fenner & Smith, Incorporated; and Shepherd Financial Group, LLC. According to publicly available records released by the…

Former Sagepoint Financial, Inc. Broker, Troy Baily, Supsended by FINRA For Six Months and Fined $5,000 For Allegedly Engaging In Unapproved Private Securities Transactions

December 5, 2020

Troy Baily (CRD# 4458930) was registered advisor at Sagepoint Financial, Inc. in Omaha, NE. Troy Baily was in the securities industry from 2001 to 2018. Troy Baily previously worked for AXA Advisors, LLC, Proequities, Inc., Ameritas Investment Corp., Vision, and Centarus Financial, Inc. According to publicly available records released by the Financial Industry Regulatory Authority…

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Main Office - Fort Lauderdale

1250 S. Pine Island Road
Suite 325
Plantation, FL 33324
Phone: (800) 931-8452
(954)-406-1231

Additional Office Locations (by appointment only)
Atlanta

3355 Lenox Road
Suite 7
Atlanta, GA 30326

Indianapolis

13295 N. Illinois St.
Suite 314
Indianapolis, IN 46032

New York City

275 Madison Avenue
Suite 705
New York, NY 10016

Dallas

3102 Maple Ave.
Suite 400
Dallas, TX 75201

Portland

5933 NE Win Sivers Drive
Suite 205
Portland, OR 97220

Denver

7900 E. Union Ave.
Suite 1100
Denver, CO 80237

Naperville

1700 Park Street
Suite 103
Naperville, IL 60563

Seattle

1001 Fourth Ave.
#3200
Seattle, WA 98154