NANCY JEAN STAPLES is currently employed as a Broker and/or Investment Adviser at SAGEPOINT FINANCIAL, INC. located at 5915 SCHULER STREET, HOUSTON, TX, 77007.
NANCY JEAN STAPLES has worked at SAGEPOINT FINANCIAL, INC. since October 31, 2008
Disclosure History
NANCY JEAN STAPLES has 2 Disclosure Event(s).
Date: May 23, 2002 Category: Customer Dispute Allegations: CUSTOMER ALLEGES MISREPRESENTATION WITH REGARD TO PERFORMANCE ON VARIABLE ANNUITY PURCHASED NOVEMBER 1, 1999. Damage Amount Requested: $27,491.00
Date: February 25, 2002 Category: Customer Dispute Allegations: CLIENT REQUESTED REDEMPTION FROM QUALIFIED BROKERAGE ACCOUNT TRANSFERED TO NON-QUALIFIED ACCOUNT. CLIENT THEN REALIZED FULL IMPACT OF EARLY WITHDRAWAL. CLAIM PAID FOR COMMISSION ONLY. CLIENT HAD TAKEN EARLY WITHDRAWALS EVERY YEAR. SHE WAS INFORMED OF THE TAX IMPLICATIONS. Damage Amount Requested: $22,000.00 Settlement Amount: $9,000.00
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