Investors may have claims against Daryl Richard Lemon (CRD 2473133), a broker with Sagepoint Financial. He submitted another letter of Acceptance, Waiver & Consent (AWC) to FINRA this week after the most recent allegations involving his actions with an elderly customer’s account. According to Lemon’s BrokerCheck report, this is not the first time he has been investigated for misconduct. Mr. Lemon’s report includes allegations of excessive fees and unsuitable recommendations, among others. He has been barred from association with any FINRA member in any capacity.
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Investor Defender attorneys Robert S. Banks, Jr. and Darlene Pasieczny represent investors in securities industry disputes in FINRA arbitrations across the U.S. Bob Banks himself has over 33 years of experience in securities litigation and FINRA arbitration, and has served multiple times on the National Arbitration and Mediation Committee, an advisory board to FINRA on its rules, regulations, and procedures. We know the rules, and we fight for our clients in recovering investment losses. Contact us at 800.647.8130