August 2016-Summerfield / The Villages, Florida
The FINRA records of Dean T. Nicholson , a stock broker who is currently employed by Sagepoint Financial, dba Elliott Wealth Management Services , disclose a prior final regulatory event, a prior customer dispute, a termination from employment and a currently pending customer dispute.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In currently pending FINRA arbitration 16-01771, a customer of Sagepoint Financial alleges damages of $30,000 for unsuitable investments in variable annuities, equities, mutual funds and real estate securities. The case was filed in June 2016.
Nicholson has been employed by Sagepoint Financial since 3/2012. His prior employment includes Ameriprise Financial Services and Prime Capital Services.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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