Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frederic Ohara (Ohara), previously associated with Sagepoint Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ohara recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on February 26, 2025.
Trustee alleges the client was misled when she purchased a variable universal life insurance policy in February 1999.