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SagePoint Stockbroker Sanctioned For Selling Away

March 26, 2020 | Posted by : Guiliano Law Group | Failure To Supervise, Selling Away and Outside Activities | Comments Off

Frederic Thomas O’Hara (also known as Ted O’Hara) of Burnt Hills New York a stockbroker formerly registered with SagePoint Financial Inc. has been fined $10,000.00 and suspended for nine months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that (1) O’Hara engaged in undisclosed outside business activities […]

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SagePoint Stockbroker Sanctioned For Selling Away

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