Israels & Neuman, PLC Investigates JEFFREY SENGLAUB, Formerly of SagePoint Financial
Have you lost money with financial advisor Jeffrey Senglaub, formerly of SagePoint Financial in Delafield, Wisconsin? We are looking into allegations made against Jeffrey Senglaub who has been the subject of six (6) customer complaints, two of which were made in 2021. The recent complaints allege that Senglaub recommended that investors invest in REITs (real estate investments) and BDCs (business development companies) which caused losses.
Jeffrey Senglaub was a registered representative of SagePoint Financial from 2008 to January 2020. He has been with Independent Financial Group from January 2020 to the present. He has worked at branch offices in Delafield, Wisconsin.
Brokerage firms like SagePoint Financial have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Wisconsin. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against SagePoint Financial.
Click to view BROKERCHECK: Senglaub, Jeffrey BrokerCheck 6.8.21