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 potentially incurred losses because of securities broker Sandeep Madhavan [CRD: 4673687, El Segundo, California], according to information disclosed through FINRA BrokerCheck. Madhavan has worked for Ameriprise Financial Services as a securities broker since August 15, 2003, and as a financial advisor since May 10, 2007. Continue reading to find out more about the disclosed […]
Investors may have suffered financial harm by securities broker Carlos C. Garcia [CRD: 2635960, Westport, Connecticut], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Garcia has worked for Kovack Securities Inc. and Kovack Advisors Inc. since October 19, 2012. See below to learn more about Garcia’s disclosures. Kovack Investor Accused Garcia Of […]
Investors might have sustained losses due to securities broker David Victor Janny [CRD: 1272727, Easton, Connecticut], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Janny has worked for Ameriprise Financial Services LLC since July 15, 2022, and previously worked for Morgan Stanley from November 21, 2012, to August 3, 2022. Investors […]
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