Randall Leigh Raymond (also known as Randy Raymond), of Lincoln, Nebraska, a stockbroker registered with SagePoint Financial Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $5,788.00 in damages based upon allegations that Raymond breached his fiduciary duties, breached a contract, and was negligent in connection with the sale of GPB Automotive Portfolio LP during the time that Raymond was associated with SagePoint Financial Inc. Financial Industry Regulatory Authority (FINRA) Arbitration No. 21-02817 (March 28, 2022).
This is not the first time that Raymond has been referenced in a customer initiated investment related dispute concerning Raymond’s conduct in the securities industry. Public Disclosure shows that Raymond was also referenced in a customer initiated investment related complaint filed on May 22, 2019, in which the customer requested $50,000.00 in damages based upon allegations that Raymond misrepresented a private security purchased by the customer in May of 2018 when Raymond was associated with SagePoint Financial Inc.
Raymond was associated with SagePoint Financial Inc. in Lincoln, Nebraska from July 8, 2011, to September 1, 2023. He has been associated with Osaic Wealth Inc. in Lincoln, Nebraska since September 1, 2023.
