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WARNING! Impending Investigation: GARY DONOVAN and SAGEPOINT FINANCIAL

Tag Archives: SagePoint Financial

31
May

WARNING! Impending Investigation: GARY DONOVAN and SAGEPOINT FINANCIAL

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WARNING!  Impending Investigation:  GARY DONOVAN and SAGEPOINT FINANCIAL

Gary Donovan and Sagepoint Financial   Have you lost money with financial advisor Gary Donovan of Newark, Ohio?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Gary E. Donovan. FINRA barred Donovan from the securities industry regarding allegations that he knew or should have known that he was facilitating market ...

11
Apr

WARNING! Impending Investigation: TIMOTHY DUFRESNE and SAGEPOINT FINANCIAL, INC.

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WARNING!  Impending Investigation:  TIMOTHY DUFRESNE and SAGEPOINT FINANCIAL, INC.

Investigation of Timothy Dufresne and SagePoint Financial, Inc.   Have you lost money with financial advisor Timothy Dufresne of Bamberg, South Carolina?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Timothy F. Dufresne. FINRA barred Dufresne from the securities industry after it was alleged that he stole $400,000 from customers.  ...

16
Jul

UPDATE! JEFFREY B. PIERCE and MIDAMERICA FINANCIAL SERVICES

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Jeffrey B. Pierce and MidAmerica Financial Services   Have you lost money with financial advisor Jeffrey B. Pierce from Quincy, Massachusetts?  We previously blogged about Jeffrey Pierce, a former financial advisor with MidAmerica Financial Services.  FINRA (the Financial Industry Regulatory Authority) recently barred Pierce from the securities industry after he failed to respond to a ...

08
Jul

WARNING! Impending Investigation: JEFFREY B. PIERCE and MIDAMERICA FINANCIAL SERVICES

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Jeffrey B. Pierce and MidAmerica Financial Services   Have you lost money with financial advisor Jeffrey B. Pierce from Quincy, Massachusetts?  Jeffrey Pierce is the subject of an investigation by the Massachusetts Securities Division.  The Massachusetts Securities Division brought an administrative complaint, making numerous allegations against Jeffrey Pierce, including that he made unauthorized withdrawals from ...

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