Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from securities broker Randall Leigh Raymond (also known as Randy Raymond) [CRD: 1041994, Lincoln, Nebraska]. Particularly, Raymond worked for SagePoint Financial Inc. from July 8, 2011, to September 1, 2023. Keep reading to learn more about the disclosures involving Randall Raymond.
Particularly, a SagePoint Financial Inc. client filed FINRA Arbitration No. 21-02817 about Randall Raymond. Notably, the client alleged that Raymond breached his fiduciary duty, breached a contract, and was negligent with regard to the sale of GPB Automotive Portfolio, LP. Consequently, the client allegedly sustained damages on direct investments. Therefore, on March 28, 2022, SagePoint Financial Inc. settled this matter by paying the client $5,788 in damages.
Specifically, a client of SagePoint Financial Inc. contested Randall Raymond's sales practices, according to a complaint dated May 22, 2019. Evidently, Raymond misrepresented a private security purchased in May 2018. It appears that Raymond allegedly caused the client to sustain damages on unsuitable private securities. Therefore, the client sought compensation from SagePoint Financial Inc. or Raymond in the amount of $50,000 in this matter.
Did you experience damages because of securities broker / financial advisor Randall Raymond? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Raymond and brokerage firms he worked for deny accusations of sales practice violations.
Investors might have sustained financial harm through WestPark Capital Inc. [CRD: 39914, Los Angeles, California], according to publicly available information found on Financial Industry Regulatory Authority BrokerCheck. WestPark Capital has been registered with FINRA since 1996 and maintains its headquarters in Los Angeles, California. Keep reading to discover more about the regulatory action involving the […]
Investors might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]
Investors potentially experienced sales practice violations by securities broker Sung Moo Cho (also known as Sam Cho) [CRD: 5015906, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Cho was associated with Ameriprise Financial Services from January 22, 2021, to October 21, 2025, and Citigroup Global Markets from […]
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