DAVID ALAN SKUTNIK

DAVID ALAN SKUTNIK is currently employed as a Broker and/or Investment Adviser at SAGEPOINT FINANCIAL, INC. located at 211 WEST THIRD STREET, GRAND ISLAND NE, NE, 68801.

DAVID ALAN SKUTNIK has worked at SAGEPOINT FINANCIAL, INC. since June 17, 2011

Disclosure History

DAVID ALAN SKUTNIK has 2 Disclosure Event(s).

Date: June 12, 2007
Category: Customer Dispute
Allegations: CUSTOMERS ALLEGE THAT THE CD THEY PURCHASED WAS NOT SUITABLE.
Damage Amount Requested: $23,597.00
Broker Comment: THE CUSTOMERS HAVE PREVIOUSLY FILED THIS COMPLAINT WITH THE NASD AND THE NEBRASKA BUREAU OF SECURITIES, AND THE FILES WERE CLOSED WITH NO ACTION TAKEN BY THE REGULATORS.

Date: December 10, 2004
Category: Customer Dispute
Allegations: CUSTOMERS ALLEGE THE CD WAS NOT SUITABLE AND REP DID NOT SELL INSTRUMENT WHEN INSTRUCTED
Damage Amount Requested: $200,000.00

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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