JOHN EDMOND WINSTON is currently employed as a Broker and/or Investment Adviser at SAGEPOINT FINANCIAL, INC. located at 124 MEFFAN AVENUE, NAMPA, ID, 83651.
JOHN EDMOND WINSTON has worked at SAGEPOINT FINANCIAL, INC. since October 31, 2005
Disclosure History
JOHN EDMOND WINSTON has 1 Disclosure Event(s).
Date: March 20, 1996 Category: Regulatory Initiated By: IDAHO DEPARTMENT OF FINANCE Allegations: UNREGISTERED INVESTMENT ADVISER Resolution: Stipulation and Consent Sanction Details: WINSTON, DBA JOHN WINSTON FINANCIAL SERVICES,AGREED TO: 1) REIMBURSE THE DEPT. $1000 INVESTIGATIVE COSTS; 2)REFUNDD INVESTMENT ADVISORY FEES RECEIVED BETWEEN 12/1/94 AND3/20/96. Broker Comment: I HAVE VIGOROUSLY DENIED ANY GUILT IN THIS MATTER. PRIOR TO CONTACTING CLIENTS, I WAS TOLD BY IDAHO DEPT OF FINANCE THAT I DID NOT HAVE TO BE REGISTERED IN IDAHO UNLESSI HAD CLIENTS IN IDAHO. DUE TO MY FATHER SUFFERING A STROKEAND OTHER TIME CONSUMING RESPONSIBILITIES, I ELECTED TO DELAY REGISTRATION IN IDAHO TEMPORARILY. I REFUSED TO ACCEPT ANY CLIENTS IN IDAHO. I WORKED WITH CLIENTS OUTSIDE OF IDAHO ONLY. AT INCEPTION OF THE INVESTIGATION WHEN INFORMED CORRECTLY OF THE LAW, I STOPPED BILLING CLIENTS UNTIL REGISTERED IN IDAHO. THERE WAS NO WILLFUL INTENT TO VIOLATE A LAW. I TOOK STEPS TO UNDERSTAND AND COMPLY WITH REGULATIONS AND WAS GIVEN BAD ADVICE BY IDAHO STATE DEPT OF FINANCE. REGISTRATION WAS GRANTED MAR. 26, 1996, AFTER COMPLYING WITH SANCTIONS.
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