CORONA, CALIFORNIA –  Law Firm of Israels & Neuman Investigates Gary Bowman of SagePoint Financial and Unsuitable Investments

Have you lost money with financial advisor Gary M. Bowman, of SagePoint Financial in Corona, California?  The Law Firm of Israels & Neuman may be able to assist you in recovering investment losses.  We are looking into allegations made against Gary Bowman by FINRA which suspended Bowman from the securities industry for three months and fined him $10,000.  Bowman was alleged to have engaged in an unsuitable pattern of trading UITs, or unit investment trusts.  Bowman was alleged to have traded 4,200 UITs more than 100 days prior to maturity, costing investors more sales charges.

Gary Bowman has been a registered representative of SagePoint Financial from February 2013 to the present.  He has worked at branch offices in Corona, California.

Brokerage firms like SagePoint Financial have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in California.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against SagePoint Financial.

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If you lost money with Gary Bowman or SagePoint Financial, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.