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Daniel G. Dillard Formerly with Union Capital Company, And Sagepoint Financial, Inc. Has A Customer Complaint for Alleged Broker Misconduct in The Past Year

Who is Daniel G. Dillard formerly with Union Capital Company?

Daniel Dillard (CRD #4289333) who was formerly registered with Union Capital Company and located in Austin, Texas is a subject of one of our many securities industry sales practice abuse investigations.  

Prior to Union Capital Company, Daniel Dillard was associated with Sagepoint Financial, Inc. and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Daniel Dillard has had his own problems with the regulators. In September 2015, while he was working for LPL Financial, LLC, he was suspended by FINRA from association with any member firm in any capacity for 3 months and fined $5,000. 

Daniel Dillard consented to FINRA’s findings, without admitting or denying the allegations, that he took a firm form and falsified information on the document.

Sagepoint Financial, Inc. Broker Misconduct

Daniel Dillard has recently been the subject of a customer complaint that we know about that was filed in the last year to recover investment losses. The claimant alleged in the complaint that Daniel Dillard made unsuitable investment recommendations, misrepresentations and breached his fiduciary duties in connection with variable annuity and other direct investments. 

The customer complaint filed against Daniel Dillard’s former employer Sagepoint Financial, Inc. for investment losses caused by his alleged misconduct is still pending.

Daniel Dillard Red Flags & Your Rights as An Investor

Of course, Daniel Dillard 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 that should put all current and former customers of Daniel Dillard at Union Capital Company and Sagepoint Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Daniel Dillard has engaged in any stockbroker misconduct that may have caused them investment losses.

There have been a large number of customer complaints at Sagepoint Financial, Inc. also raises questions about its 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 Union Capital Company

If you have questions about Union Capital Company, Sagepoint Financial, Inc., and/or Daniel Dillard 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.

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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 $170 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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