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Theodore Balthazor Of Osaic Wealth, Inc. And Formerly With Sagepoint Financial, Inc. Has A Customer Complaint For Alleged Broker Misconduct

Who is Theodore Balthazor of Osaic Wealth, Inc.?

Theodore Balthazor

Theodore Balthazor (CRD #2845163) who is currently registered as a broker and investment adviser with Osaic Wealth, Inc. and located in Appleton, Wisconsin, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Osaic Wealth, Inc., Theodore Balthazor was associated with Sagepoint Financial, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Theodore Balthazor has had his own problems with the regulators. He was previously ordered to make restitution and pay a monetary fine in connection with a surrender and replacement of a fixed index annuity with a variable annuity by another issuer.

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Theodore Balthazor Customer Complaint

Theodore Balthazor has been the subject of at least one customer complaint that we know about seeking to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were transactions were effected in the client’s account without authorization. Sagepoint Financial recently denied the customer complaint and, to date, the investor has not taken any further action.

Theodore Balthazor Red Flags & Your Rights As An Investor

Of course, Theodore Balthazor 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 Theodore Balthazor at Osaic Wealth, Inc. and Sagepoint Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Theodore Balthazor has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Osaic Wealth, Inc. 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.

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Osaic Wealth, Inc. Due To Theodore Balthazor

If you have questions about Osaic Wealth, Inc., Sagepoint Financial, Inc. and/or Theodore Balthazor 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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