FINRA Bars Dan Droeg, Formerly with H. Beck and SagePoint Financial, After He Converted Assets from a Trust
MESA, ARIZONA
Have you lost money with financial advisor Dan Droeg? The securities fraud law firm of Israels & Neuman is looking into allegations made against Dan Droeg, who previously worked with H. Beck, SagePoint Financial, and United Planners Financial Services. FINRA (the Financial Industry Regulatory Authority) barred him from the securities industry. FINRA began its investigation after it received a tip that Droeg was converting assets from a trust in which he served as a trustee.
Financial advisor Dan Edwards Droeg had been affiliated with a number of firms, including H. Beck, SagePoint Financial, and United Planners Financial Services. He worked in offices in Mesa, Arizona, and he also ran Droeg Financial Services.
Securities brokerage firms like H. Beck, SagePoint Financial, and United Planners Financial Services must adequately supervise representatives like Droeg. If they fail to do so, they could be responsible for investor losses.
Israels & Neuman has represented investors against H. Beck, SagePoint Financial, and United Planners Financial Services in the past. Attorney Aaron Israels is licensed to practice law in Arizona, and our firm maintains an office in Phoenix.
Click to view: Droeg, d BrokerCheck 3.10.22 (1)
Click to view: Droeg, d FINRA AWC (1)