brokerwatch

Dan Dillard | Nest Financial & Sagepoint Financial

According to FINRA’s BrokerCheck, Dan Dillard has been the subject of 3 disclosures:

• December, 2018: Judgment Lien – Tax ($59,428.33).
• September, 2015: Regulatory, initiated by FINRA. Allegations: falsified form, inaccurate books and records. Civil and Administrative Penalty/Fine – $5,000.00. Suspension: 3 months.
• April, 2014: Employment Separation After Allegations. Allegations: Submitted an altered document regarding advisor’s commission split with bank, previously signed by bank CEP, to the firm.

Prior to Union Capital Company and Sagepoint Financial, Dan Dillard was registered with LPL Financial (Discharged), Cuna Brokerage Services, and Merrill Lynch Pierce Fenner & Smith Incorporated.

If you invested with Dan Dillard of Sagepoint Financial, contact Peiffer Wolf and Meyer Wilson immediately for a FREE Consultation

To review Dan Dillard‘s BrokerCheck report, click here:

https://brokercheck.finra.org/individual/summary/4289333

*BrokerCheck is run by the Financial Industry Regulatory Authority, Inc. (FINRA)

Dan Dillard and the GPB Lawsuit

Multiple lawsuits have been filed and multiple regulatory matters have been initiated, alleging that GPB Capital Holdings has been engaged in wrongdoing.  A former GPB Holdings partner alleged that “GPB paid its investors significant returns based upon falsified financial information”.

Our investigation into the various GPB private placement funds includes, but is not limited to: GPB Automotive Portfolio LP, GPB Cold Storage LP, GPB Eurobond Finance PLC, GPB Holdings II LP, GPB Holdings III LP, GPB Holdings Qualified LP, GPB Holdings LP, GPB NYC Development LP, GPB Scientific LLC, GPB Waste Management LP, GPB Waste Management Fund LP, and many more.

Financial advisors (brokers) have a legal obligation and regulatory obligation to recommend only suitable investments that are appropriate for their individual clients. Their broker-dealer (employing brokerage firm) has a legal obligation and regulatory obligation to supervise the financial advisor’s sales practices and dealings with clients. To the extent that any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.

Based on our experience, we believe that there are more investors who have been the victims Dan Dillard’s alleged broker misconduct and investment fraud. If you invested with Dan Dillard of Sagepoint Financial, you should  contact Peiffer Wolf and Meyer Wilson immediately for a FREE Consultation.

Learn more about the GPB Investor Lawsuit here: https://gpblawyer.com/gpb-investor-lawsuit/

Peiffer Wolf and Meyer Wilson are currently investigating Dan Dillard‘s practices, as well as the products he recommended to individual investors. Concerns about possible broker misconduct and investment fraud are serious, and we are committed to fighting on behalf of investors. Contact Us Today for a FREE Consultation. 888-390-6491.