SAN JUAN CAPISTRANO, CALIFORNIA Are you a former client of David Tall in San Juan Capistrano, California? We are reviewing allegations made against David Tall, formerly with SagePoint Financial and Osaic Wealth. It was alleged that he executed two promissory notes without firm approval, which led to him being fired.

That led to a FINRA investigation. After Tall refused to respond to FINRA’s investigation, he was barred from the securities industry. Generally, financial advisors cannot borrow money from customers, with limited exceptions. Moreover, advisors must get prior firm approval to borrow money.

David Tall had been licensed with SagePoint Financial from 2005 to September 2023. He worked at Osaic Wealth from September 2023 to December 2023 in San Juan Capistrano, California.

SagePoint Financial is a FINRA member and is required to sufficiently monitor the acts of its representatives. If the firm fails to do so, it could be responsible for investor losses. Our law firm has recovered millions of dollars for investors in the past, and has represented numerous clients in California.

View FINRA AWC HERE View BrokerCheck Report HERE

If you lost money with David Tall, or SagePoint Financial, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.