DAVID LEE WINT is currently employed as a Broker and/or Investment Adviser at SAGEPOINT FINANCIAL, INC. located at 83 LAKEVIEW ACRES DRIVE, GEORGETOWN, OH, 45121.
DAVID LEE WINT has worked at SAGEPOINT FINANCIAL, INC. since October 31, 2008
Disclosure History
DAVID LEE WINT has 1 Disclosure Event(s).
Date: August 04, 2004 Category: Customer Dispute Allegations: ALLEGES RR RECOMMENDED PURCHASE OF PUTNAM B SHARE MUTUAL FUNDS IN JULY AND AUGUST 1999 AND FEBRUARY 2000 TOTALING $595,000.00 THEREBY RECEIVING NO BREAKPOINTS AND INCURRING DEFERRED SALES CHARGES ON SYSTEMATIC WITHDRAWALS; ALSO ALLEGES UNSUITABILITY OF INVESTMENT BASED ON RISK TOLERANCE, INVESTMENT OBJECTIVES AND INVESTMENT EXPERIENCE. CLIENT ALLEGES DAMAGES OF 60% OF PRINCIPAL BUT FIRM CALCULATES ALLEGED DAMAGES RELATE TO MARKET LOSS ONLY AND TOTAL APPROXIMATELY $70,000.00. Damage Amount Requested: $357,000.00
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.
To view the full report for DAVID LEE WINT, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.