{"id":11421,"date":"2024-07-19T09:06:27","date_gmt":"2024-07-19T13:06:27","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11421"},"modified":"2024-07-19T09:06:27","modified_gmt":"2024-07-19T13:06:27","slug":"broker-juan-sosa-barred-after-converting-331k-in-funds-from-elderly-customer","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/broker-juan-sosa-barred-after-converting-331k-in-funds-from-elderly-customer\/","title":{"rendered":"Broker Juan Sosa Barred After Converting $331K In Funds From Elderly Customer"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-11422 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/07\/Blog-Graphics12-1.png\" alt=\"Juan Sosa (Juan Carlos Sosa CRD# 4059846) is a former registered broker and investment advisor. His most recent employment was with Independent Financial Group, LLC (CRD# 7717) of Studio City, CA. His previous employers were Sagepoint Financial, Inc. (CRD# 133763), also of Studio City, Sunamerica Securities, Inc. (CRD# 20068) of Phoenix, AZ, and WM Financial Services, Inc. (CRD# 599) of Irvine, CA.\u00a0 He has been in the industry since 2000.\n\nSosa was \u201cpermitted to resign\u201d from Sagepoint (now Osaic Services, Inc.) on 7\/8\/2022 when the firm discovered that he had been named contingent beneficiary and successor trustee to a client\u2019s living trust document in their file. This violated Sagepoint\u2019s policies and procedures. However, Sosa stated that he was unaware of these designations. The firm found no evidence that Sosa had acted as a\u00a0trustee or received any benefit from the client's trust.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/07\/Blog-Graphics12-1.png 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/07\/Blog-Graphics12-1-180x120.png 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Juan Sosa (Juan Carlos Sosa CRD# <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/4059846\" target=\"_blank\">4059846<\/a>) is a former registered broker and investment advisor. His most recent employment was with Independent Financial Group, LLC (CRD# 7717) of Studio City, CA. His previous employers were Sagepoint Financial, Inc. (CRD# 133763), also of Studio City, Sunamerica Securities, Inc. (CRD# 20068) of Phoenix, AZ, and WM Financial Services, Inc. (CRD# 599) of Irvine, CA.\u00a0 He has been in the industry since 2000. <a href=\"https:\/\/www.silverlaw.com\/blog\/broker-juan-sosa-barred-after-converting-331k-in-funds-from-elderly-customer\/#more-11421\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Juan Sosa (Juan Carlos Sosa CRD# 4059846) is a former registered broker and investment advisor. His most recent employment was with Independent Financial Group, LLC (CRD# 7717) of Studio City, CA. His previous employers were Sagepoint Financial, Inc. (CRD# 133763), also of Studio City, Sunamerica Securities, Inc. (CRD# 20068) of Phoenix, AZ, and WM Financial [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577,580],"tags":[],"class_list":["post-11421","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Juan Sosa Barred After Converting $331K From Elderly Customer<\/title>\n<meta name=\"description\" content=\"Juan Sosa is a former broker and investment advisor. His most recent employment was with Independent Financial Group of Studio City, CA.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/broker-juan-sosa-barred-after-converting-331k-in-funds-from-elderly-customer\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Juan Sosa Barred After Converting $331K From Elderly Customer\" \/>\n<meta name=\"twitter:description\" content=\"Juan Sosa is a former broker and investment advisor. His most recent employment was with Independent Financial Group of Studio City, CA.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/07\/Blog-Graphics12-1.png\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Juan Sosa Barred After Converting $331K From Elderly Customer","description":"Juan Sosa is a former broker and investment advisor. 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His most recent employment was with Independent Financial Group of Studio City, CA.","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/07\/Blog-Graphics12-1.png","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/broker-juan-sosa-barred-after-converting-331k-in-funds-from-elderly-customer\/","url":"https:\/\/www.silverlaw.com\/blog\/broker-juan-sosa-barred-after-converting-331k-in-funds-from-elderly-customer\/","name":"Juan Sosa Barred After Converting $331K From Elderly Customer","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/broker-juan-sosa-barred-after-converting-331k-in-funds-from-elderly-customer\/#primaryimage"},"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/broker-juan-sosa-barred-after-converting-331k-in-funds-from-elderly-customer\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/07\/Blog-Graphics12-1.png","datePublished":"2024-07-19T13:06:27+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"Juan Sosa is a former broker and investment advisor. 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