| Read Time: 2 minutes | Sagepoint Financial Complaints |

As a client, you are putting your money in the hands of a broker that you can rely on. This is why it’s critical to know all there is to know about the individual handling your assets. This information might assist you in determining whether or not to deal with a particular broker.

If you believe Charles Dixon has caused you financial harm, we may be able to help you in resolving any issues or concerns you have.


Charles Dixon Of Sagepoint Financial, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct

Who is Charles Dixon of Sagepoint Financial, Inc.?

Charles Dixon (CRD #2707442) who is currently registered with Sagepoint Financial, Inc. and located in The Woodland, Texas is a subject of one of our many securities industry sales practice abuse investigations.

Charles Dixon Customer Complaints

Charles Dixon has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses.  Two of Charles Dixon’s customer complaints were denied and, to date, the customers have not taken any further action. There are currently 2 pending customer complaints filed against Charles Dixon’s current employer Sagepoint Financial, Inc. for investment losses caused by the alleged misconduct.

Allegations Against Charles Dixon

A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows:

  • Failure to disclose risks related to triggering of penalties.
  • Unsuitable stock purchases in fee-based advisory account.
  • Breach of fiduciary duty and negligence with regard to sale of alternative investments involving REITs and business development companies.

Charles Dixon Red Flags & Your Rights As An Investor

Of course, Charles Dixon 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 Charles Dixon at Sagepoint Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Charles Dixon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sagepoint Financial, Inc. also raises questions about the brokerage firms’ 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, Inc. Due To Charles Dixon

If you have questions about Sagepoint Financial, Inc. and/or Charles Dixon 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

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $160 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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