SagePoint Financial, Inc. Sanctioned by FINRA for Failure to Supervise Regarding UIT’s

2020-06-28T14:50:57-05:00June 15th, 2020|Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, SagePoint Financial, Inc. (hereinafter “SagePoint”) (CRD # 133763) was recently sanctioned by [...]