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Steven Koch Of SagePoint Financial And Formerly With MML Investors Services And MSI Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Steven Koch of SagePoint Financial?

Steven Koch (CRD #5369256) who is currently registered with SagePoint Financial and located in Milwaukee, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Prior to SagePoint Financial, Steven Koch was associated with MML Investors Services, MSI Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Steven Koch Customer Complaints

Steven Koch has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Steven Koch’s 2 customer complaints was settled in favor of investors. One of Steven Koch’s customers’ complaints was denied and, to date, the customer has not taken any further action.

Allegations Against Steven Koch

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

  • Customer alleged that the recommended exchange from variable annuity to life insurance trust constituted poor advice by Steven Koch.
  • Customer alleged when she purchased a variable annuity, Steven Koch assured her the contract would earn a guaranteed interest rate and there was no exposure to stock market risk.

Steven Koch Red Flags & Your Rights As An Investor

Of course, Steven Koch 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 Steven Koch at SagePoint Financial, MML Investors Services, and MSI Financial Services on alert to review carefully the activity and performance of their accounts and question whether Steven Koch has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SagePoint Financial, MML Investors Services, and MSI Financial Services 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 Due To Steven Koch

If you have questions about SagePoint Financial, MML Investors Services, MSI Financial Services, and/or Steven Koch 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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