Christopher R. Bice (also known as Cubby Bice) of Greensboro, North Carolina, a stockbroker currently registered with Sagepoint Financial Inc., is referenced in a customer initiated investment related written complaint on February 9, 2022, where the customer sought $7,600.00 in damages based upon accusations of Bice’s unsuitable investment recommendations concerning structured notes while he was associated with Sagepoint Financial Inc.
Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Bice has been identified in three additional customer initiated investment related disputes regarding accusations of his conduct while employed by Sagepoint Financial. On March 12, 2021, a customer initiated investment related FINRA securities arbitration claim involving Bice’s conduct was settled for $35,000.00 in damages supported by accusations of unsuitable private placement sales by Bice during the time he was registered with Sagepoint. FINRA Arbitration No. 20-00442.
On January 13, 2022, another customer initiated investment related FINRA securities arbitration claim regarding Bice’s activities was resolved for $350,000.00 in damages founded on allegations of misrepresentation, unsuitable advice, failure to supervise, and overconcentration by Bice at Sagepoint. FINRA Arbitration No. 18-03861.
Bice is also identified in a customer initiated investment related FINRA securities arbitration claim which was resolved for $30,000.00 in damages based upon allegations of his unsuitable sale of a real estate security to the customer while registered with Sagepoint. FINRA Arbitration No. 20-02400.
FINRA Public Disclosure additionally shows that Bice was discharged by a prior securities broker-dealer, UBS PaineWebber, founded on accusations of Bice causing one of his employees to sign a customer’s name on an account document.
Since October 31, 2005, Bice has been associated with Sagepoint Financial as a stockbroker and investment adviser representative.
