RONALD DEXTER NIELSEN is currently employed as a Broker and/or Investment Adviser at SAGEPOINT FINANCIAL, INC. located at 452 E. 500 SOUTH, SALT LAKE CITY, UT, 84111.
RONALD DEXTER NIELSEN has worked at SAGEPOINT FINANCIAL, INC. since October 31, 2005
Disclosure History
RONALD DEXTER NIELSEN has 3 Disclosure Event(s).
Date: January 20, 2006 Category: Customer Dispute Allegations: ALLEGES INVESTMENTS WERE NOT IN LINE WITH HER STATED GOALS AND OBJECTIVES AND THAT BY COMMUNICATING WITH HER HUSBAND REGARDING TRANSACTIONS IN HER ACCOUNT, REPRESENTATIVE ENGAGED IN UNAUTHORIZED TRADING. Damage Amount Requested: $1,000,000.00 Settlement Amount: $435,000.00 Broker Comment: NAMED REPRESENTATIVE WAS THE FIRST LINE SUPERVISOR OF THE REPRESENTATIVE THAT ACTUALLY RECOMMENDED THE INVESTMENT PRODUCTS AT ISSUE; NAMED RESPRESENTATIVE PLAYED NO DIRECT ROLE IN THESE RECOMMENDATIONS OR TRADES.
Date: March 28, 2002 Category: Customer Dispute Allegations: CLIENT CLAIMS SHARES OF STOCK PURCHASED IN JUNE 2001 WHICH WERE TO BE HELD UNTIL AFTER THE FIRST OF 2002 WERE SOLD IN NOVEMBER 2001 WITHOUT HIS AUTHORIZATION. Damage Amount Requested: $5,940.28
Date: November 02, 2000 Category: Customer Dispute Allegations: CLIENT EXPRESSED CONCERN ABOUT HER INVESTMENT IN A SAFECO LIFE INSURANCE POLICY AND WANTED TO SURRENDER THE POLICY WITHOUT BEING CHARGED THE SURRENDER CHARGES. Damage Amount Requested: $12,635.84 Settlement Amount: $12,635.84 Broker Comment: CLAIM SETTLED BY SAFECO WITH NO PAYMENT OR CONTRIBUTION BY NIELSEN. REPRESENTATIVE COOPERATED FULLY WITH SAFECO'S INVESTIGATION AND REQUEST FOR INFORMATION AND DECISION BY SAFECO TO WAIVE THE SURRENDER CHARGE WAS NOT BASED ON A FINDING OF ANY WRONGDOING ON THE PART OF THE REPRESENTATIVE.
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