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Janie Garza-Clark Of TCFG Wealth Management, LLC And Formerly With Sagepoint Financial, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Janie Garza-Clark of TCFG Wealth Management, LLC?

Janie Garza-Clark (CRD #1010752) who was formerly registered with TCFG Wealth Management, LLC and located in Scottsdale, Arizona, is a subject of one of our many securities industry sales practice abuse investigations. Prior to TCFG Wealth Management, LLC, Janie Garza-Clark was associated with Sagepoint Financial, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Janie Garza-Clark has had her own regulatory problems. She refused to cooperate in the FINRA investigation and give on the record testimony related to relationship with the former client and potential receipt of cash gifts from that client. As a result, she was permanently barred from any further association with any FINRA member firm.

Janie Garza-Clark Customer Complaints

Janie Garza-Clark has been the subject of 3 customer complaints that we know about to recover investment losses. 2 of the customer complaints were settled in favor of the investors. The other customer complaint was denied by her employer and the customer did not take any further action.

Allegations Against Janie Garza-Clark

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Poor advice in connection with annuity transactions for estate planning.
  • Unsuitable investment recommendations and fraud along with violations of the Arizona Securities Act.
  • Failure to disclose surrender fees.

Janie Garza-Clark Red Flags & Your Rights As An Investor

Of course, Janie Garza-Clark 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 Janie Garza-Clark at TCFG Wealth Management, LLC and Sagepoint Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Janie Garza-Clark has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TCFG Wealth Management, LLC and 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 TCFG Wealth Management, LLC Due To Janie Garza-Clark

If you have questions about TCFG Wealth Management, LLC, Sagepoint Financial, Inc. and/or Janie Garza-Clark 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 $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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