Christopher R. Bice of Phoenix Arizona a stockbroker currently employed by Sagepoint Financial Inc. is the subject of a customer initiated investment related written complaint on February 9, 2018 where the customer sought $125,000.00 in damages supported by accusations that the customer was not provided information about commissions charged on real estate investment trust and variable annuity products prior to the customer’s transactions having been effected.
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Bice is referenced in two more customer initiated investment related disputes pertaining to allegations of his violative conduct while employed by Sagepoint Financial. Particularly, on January 21, 2014, a customer filed an investment related complaint involving Bice’s activities in which the customer alleged that unsuitable investment transactions had been executed in the customer’s account.
Subsequently, on January 4, 2017, a customer initiated investment related arbitration claim concerning Bice’s activities was settled for $57,000.00 in damages founded on accusations of suitability concerning the customer’s investment in a real estate security. FINRA Arbitration No. 16-02268 (Jan. 4, 2017).
Bice was previously associated with UBS Paine Webber but discharged on April 12, 2002 for violating the company’s policy by causing a firm employee to improperly sign a customer’s name on customer account documentation.
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