RedFlags, Allegations and Complaints against DAVID LEE WINT
Disclosure #1 for DAVID WINT
- eventDate: 8/4/2004
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: ALLEGES RR RECOMMENDED PURCHASE OF PUTNAM B SHARE MUTUAL FUNDS IN JULY AND AUGUST 1999 AND FEBRUARY 2000 TOTALING $595,000.00 THEREBY RECEIVING NO BREAKPOINTS AND INCURRING DEFERRED SALES CHARGES ON SYSTEMATIC WITHDRAWALS; ALSO ALLEGES UNSUITABILITY OF INVESTMENT BASED ON RISK TOLERANCE, INVESTMENT OBJECTIVES AND INVESTMENT EXPERIENCE. CLIENT ALLEGES DAMAGES OF 60% OF PRINCIPAL BUT FIRM CALCULATES ALLEGED DAMAGES RELATE TO MARKET LOSS ONLY AND TOTAL APPROXIMATELY $70,000.00.
- Damage Amount Requested: $357,000.00
- Arbitration Docket Number:
Should I file a FINRA complaint against brokers like DAVID LEE WINT?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Update – 2022.11.15If you have suffered investment losses that may have been caused by DAVID LEE WINT’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!
Frequently Asked Questions About DAVID LEE WINT
What is DAVID WINT’s Central Registration Depository (CRD) Number?
Which firm is DAVID LEE WINT associated with?
SAGEPOINT FINANCIAL, INC.
Where is DAVID WINT located?
83 LAKEVIEW ACRES DRIVE, GEORGETOWN, OH, 45121
Where can I find more details about DAVID WINT’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/133763 to read a detailed report for SAGEPOINT FINANCIAL, INC.
Are there any disclosures, allegations or complaints filed against DAVID LEE WINT?
Where can I download a detailed FINRA report for DAVID WINT?
Is it safe to do business with DAVID LEE WINT?
We’re not sure. Please research DAVID WINT’s disclosures, allegations and complaints before taking a decision
Originally reported on November 16, 2022 @ 12:39 am
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