SagePoint Financial

There are Recent Customer Complaints with Broker Patrick Harris in Firm Sagepoint Financial, INC.

February 18, 2026 | by Staff Attorney

Previously financial advisor Patrick Harris (Harris), previously employed by brokerage firm Sagepoint Financial, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $20,000.00 on May 04, 2021.

Misrepresentation of a BDC is alleged.

There are Recent Customer Complaints with Broker Ross Anderson in Firm Sagepoint Financial, INC.

February 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ross Anderson (Anderson), previously associated with Sagepoint Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Anderson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on June 01, 2021.

Claimants allege the representative recommended alternative investments that were unsuitable.

There are Recent Customer Complaints with Broker Justin Anderson in Firm Sagepoint Financial, INC.

February 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Anderson (Anderson), previously associated with Sagepoint Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Anderson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on June 01, 2021.

Claimants allege the representative recommended alternative investments that were unsuitable.

There are Recent Customer Complaints with Broker Charles Dixon in Firm Sagepoint Financial, INC.

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Dixon (Dixon), previously associated with Sagepoint Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dixon recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $99,999.00 on November 18, 2021.

Claimant’s allegations include but are not limited to breach of fiduciary duty and negligence with regard to the sale of alternative investments.

Broker Delio Londono in Sagepoint Financial, INC. Firm Has Customer Complaint

November 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Delio Londono (Londono), previously associated with Sagepoint Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Londono recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $250,000.00 on April 14, 2022.

Claimant alleges that certain unnamed REITS and “direct participation programs were recommended to the client that were not in keeping with her investment objectives and needs, and that the risks and other characteristics of the investments were not fully explained.

There are Recent Customer Complaints with Broker Virgilio Cristobal in Firm Sagepoint Financial, INC.

November 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Virgilio Cristobal (Cristobal), previously associated with Sagepoint Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cristobal recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 29, 2022.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

Broker Troy Baily in Sagepoint Financial, INC. Firm Has Customer Complaint

November 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Troy Baily (Baily), previously associated with Sagepoint Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Baily recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on September 18, 2025.

Applicant is alleged to have concentrated the complainant’s account in illiquid alternative investments.

There are Recent Customer Complaints with Broker Grant Birkley in Firm Sagepoint Financial, INC.

August 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Grant Birkley (Birkley), previously associated with Sagepoint Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Birkley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,600,000.00 on June 23, 2023.

Rep is alleged to have aided and participated in client purchase of unapproved investment

Broker Cynthia Komarek in Sagepoint Financial, INC. Firm Has Customer Complaint

August 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Komarek (Komarek), previously associated with Sagepoint Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Komarek recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,600,000.00 on June 23, 2023.

FP is alleged to have aided and participated in claimant purchase of unapproved investment

Broker James Mackellar in Sagepoint Financial, INC. Firm Has Customer Complaint

August 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mackellar (Mackellar), previously associated with Sagepoint Financial, INC., has at least one disclosable event. These events include one regulatory event, alleging that Mackellar recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on May 01, 2024.

Without admitting or denying the findings, Mackellar consented to the sanction and to the entry of findings that he refused to provide information or documents requested by FINRA in connection with its investigation into a complaint. The findings stated that the complaint was submitted to FINRA concerning Mackellar’s alleged OBAs involving a customer’s estate and his indirect beneficial interest in that customer’s accounts.