| Read Time: 2 minutes |

DID ANNA NAOMI HARTWELL CAUSE YOU INVESTMENT LOSSES?

Anna Hartwell Of SagePoint Financial And Formerly With PFS Investments And Pruco Securities Has A Customer Complaint For Alleged Broker Misconduct

Who is Anna Hartwell of SagePoint Financial?

Anna Hartwell (CRD #6063419) who is currently registered with SagePoint Financial and located in Syracuse, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to SagePoint Financial, Anna Hartwell was associated with PFS Investments, Pruco Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Anna Hartwell Customer Complaint

Anna Hartwell has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were the client opened an account with Anna Hartwell and when the monies were transferred from her 401k, she missed an opportunity to save a large tax expense in the future because she was not informed of the tax consequences. Anna Hartwell’s customer complaint was denied and, to date, the customer has not taken any further action.

Anna Hartwell Red Flags & Your Rights As An Investor

Of course, Anna Hartwell did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Anna Hartwell at SagePoint Financial, PFS Investments, and Pruco Securities on alert to review carefully the activity and performance of their accounts and question whether Anna Hartwell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SagePoint Financial, PFS Investments, and Pruco Securities also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At SagePoint Financial Due To Anna Hartwell

If you have questions about SagePoint Financial, PFS Investments, Pruco Securities, and/or Anna Hartwell and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Author Photo

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars
Loading...