{"id":2664,"date":"2016-11-29T00:00:00","date_gmt":"2016-11-29T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/another-finra-barred-sagepoint-financial-broker-investigation\/"},"modified":"2017-07-27T14:11:25","modified_gmt":"2017-07-27T18:11:25","slug":"another-finra-barred-sagepoint-financial-broker-investigation","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/another-finra-barred-sagepoint-financial-broker-investigation\/","title":{"rendered":"Another FINRA-barred Sagepoint Financial Broker Under Investigation"},"content":{"rendered":"

Silver Law Group is investigation former Sagepoint Financial, Inc. (CRD# 133763)<\/a> broker James L. Carpenter (CRD# 2199138)<\/a> after FINRA barred the broker and because of variable annuity misconduct allegations.<\/p>\n

According to Carpenter\u2019s FINRA BrokerCheck report, Carpenter was permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public by FINRA in May 2016 after he failed to respond to a FINRA request for information.<\/p>\n

In less than two years, according to the BrokerCheck report, Carpenter had three FINRA arbitrations filed against him, both alleging misconduct relating to the sale of variable annuities (VAs).\u00a0 One of those FINRA arbitrations settled in June 2015 for over $50,000.\u00a0 One FINRA arbitration alleging $3 million in damages is currently pending.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Silver Law Group is investigation former Sagepoint Financial, Inc. (CRD# 133763) broker James L. Carpenter (CRD# 2199138) after FINRA barred the broker and because of variable annuity misconduct allegations. According to Carpenter\u2019s FINRA BrokerCheck report, Carpenter was permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578],"tags":[],"class_list":["post-2664","post","type-post","status-publish","format-standard","hentry","category-all-releases"],"yoast_head":"\nSagepoint Broker Under Investigation for Variable Annuity Misconduct<\/title>\n<meta name=\"description\" content=\"If you have lost money investing with Sagepoint Financial and\/or James Carpenter, contact our firm for information on how to try to recover your losses.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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