FINRA Issues Bar To Ronald Sagasser

Soreide Law Group is presently investigating potential claims on behalf of investors who lost money due to Ronald Joseph Sagasser (also known as Ron Sagasser) (CRD: 5400879, Miamisburg, Ohio). Notably, Sagasser worked for W&S Brokerage Services, Inc. from May 11, 2018, to July 18, 2022. Evidently, FINRA sanctioned Sagasser on July 6, 2023. Moreover, Sagasser stopped working for Western & Southern Life on June 21, 2022, following the firm's investigation into him. Specifically, the investigations focused on allegations of violating company policy and providing inaccurate information.

Sagasser Sanctioned By FINRA For Refusing To Provide Requested Documents And Information

Notably, FINRA initiated Case: 2022075848601 on July 6, 2023, taking disciplinary action about Ronald Sagasser. Specifically, Sagasser allegedly consented to the sanctions and the entry of findings that he declined to furnish documents and information to FINRA. This concerned a FINRA investigation into the conditions leading to his termination from W&S Brokerage Services, Inc. As a result, FINRA barred Sagasser on July 6, 2023.

Ronald Sagasser Terminated For Violating Company Policy And Providing Inaccurate Information

Moreover, Western & Southern Life severed its affiliation with Sagasser on June 21, 2022. Sagasser was purportedly terminated after an internal investigation concluded that he breached company guidelines. The company accused the broker of creating and signing a promissory note with an insurance client, distributing non-company-issued consolidated statements to clients, disobeying suspension instructions, and supplying incorrect information during the company's inquiry.

Contact Soreide Law Group For Possible Recovery Of Losses

Did you experience losses because of Ronald Sagasser? 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 money for investors throughout the United States, works on a contingency fee basis, and advances all costs. Sagasser and brokerage firms he worked for deny accusations of sales practice violations.