Alberto Sanchez: FINRA Bars Ex-Sagepoint Rep
Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 19, 2019 indicate that former Florida-based Sagepoint Financial broker/adviser Alberto Sanchez, who has received a customer complaint, was recently sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sanchez (CRD# 4577983).
Alberto Sanchez has spent 16 years in the securities industry and was most recently registered with Sagepoint Financial in Fort Lauderdale, Florida (2018-2019). Previous registrations include MML Investors Services in Fort Lauderdale, Florida (2017-2018); Principal Securities in Fort Lauderdale, Florida (2013-2017); MetLife Securities in Plantation, Florida (2004-2013); Metropolitan Life Insurance Company in Fort Lauderdale, Florida (2004-2007); and AXA Advisors in New York, New York (2002-2004). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 12, 2003; SIE (Securities Industry Essentials Examination), which he obtained on September 12, 2003; October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on September 12, 2003; October 2, 2002. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received one customer complaint and one regulatory sanction.
In June 2019 FINRA sanctioned him in connection to allegations he failed to provide requested documents and information as part of a FINRA investigation into his role in a “potential undisclosed outside business activity.” He was consequently barred from acting as a broker or otherwise associating with a broker-dealer firm.
In 2009 a customer alleged Alberto Sanchez, while employed at MetLife Securities, sold him a variable annuity investment that did not contain certain expected benefits. The complaint settled with the contract’s reissue with the requested benefits.
If you or someone you know has complaints regarding Alberto Sanchez, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.