Stephen Matthews (CRD#: 1878065, Dublin, Ohio) is a general securities representative of SagePoint Financial, Inc. According to Stephen Matthews’ Financial industry Regulatory Authority (FINRA) BrokerCheck Report, Stephen Matthews, who has been with SagePoint Financial, Inc. since August 16, 2013, is the subject of an investor’s dispute. Here is a summary of the matter:
FINRA BrokerCheck shows that a SagePoint Financial Inc. customer brought FINRA Arbitration #17-01190 on May 9, 2017. Allegedly, Matthews sold the customer unsuitable investments including private placements and variable annuities. The customer claimed that SagePoint Financial Inc. or Matthews breached his fiduciary responsibility to the customer. That is to say, Matthews potentially failed to act in the customer’s best interest. Not only that, but the customer claimed that SagePoint Financial Inc. or Matthews was negligent with the customer’s investments. Because of this, SagePoint Financial Inc. settled the customer’s claim by paying the customer $20,000.
Investors can bring claims against a brokerage firm, stockbroker, or both, when the firm or stockbroker fails to conduct business with a customer in a way that a reasonably prudent broker would conduct business. Negligence also occurs when brokers do not comply with securities industry standards. Similarly, a breach of fiduciary duty, typically involves a brokerage firm or stockbroker failing to place the investors’ needs and interests first. Often times, a broker violates a fiduciary duty by willfully generating a gain at the customer’s expense.
Have you experienced losses by investing with securities broker Stephen Matthews? If so, contact Soreide Law Group at (888) 760-6552, where you can speak with experienced counsel about a possible recovery of your investment losses. Soreide Law Group represents clients on a contingency fee basis and advances all costs. The firm has recovered millions of dollars for investors who have suffered losses due to misconduct of brokers and brokerage firms.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
A claim filed on September 11, 2024 names Thomas Hamlin (CRD 2208505) over a 10% Senior Unsecured Note in iCap Fund III. Every disclosure on his BrokerCheck report involves an iCap private placement and names Somerset Securities as the firm. Each one settled, and a settlement is not an admission of wrongdoing.
Peter Po's most recent settlement came on June 28, 2026, when a corporate bond claim settled for $40,000. Po (CRD 3106974) appears in several settled customer disputes over corporate and high-yield bonds. The disclosures name NI Advisors or California Securities as the firm, and each matter ended in a settlement, not a finding.
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