Mark James Sudol, of Gardena, California, is the subject of a customer initiated investment related arbitration claim on May 1, 2017, wherein the customer sought $500,000.00 in damages based upon allegations that Sudol breached his fiduciary duties, effected transactions in the customer’s account that were not suitable, negligently managed the customer’s portfolio, and made misrepresentations regarding real estate investment trusts and direct investment products. The customer further alleged that Sagepoint Financial failed to supervise Sudol’s activities concerning the customer’s alternative investment transactions.
Financial Industry Regulatory Authority (FINRA) Public Disclosure also reveals that on September 20, 2011, a customer filed an investment related written complaint involving Sudol’s conduct, based upon allegations that he charged the customer excessive fees on a variable annuity. On February 24, 2013, another a customer initiated investment related arbitration claim regarding Sudol’s activities was resolved for $6,000.00 in damages based upon allegations that he effected purchases of a unit investment trust, real estate investment trust, and variable annuity that were not suitable for the customer.
Since November 10, 2016, Sudol has been associated with Ameriprise Financial Services, Inc.
Guiliano Law Group
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