DID JANIE GARZA-CLARK CAUSE YOU INVESTMENT LOSSES?
Janie Garza-Clark Of TCFG Wealth Management, LLC And Formerly With Sagepoint Financial, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct
About Janie Garza-Clark Of TCFG Wealth Management, LLC?
Janie Garza-Clark (CRD #1010752) has extensive experience in the financial services industry, though she is not currently registered. Over her career, she has been associated with several firms, including TCFG Wealth Management, LLC, SagePoint Financial, Inc., and Hornor, Townsend & Kent, Inc. She has passed two general industry/product exams—Series 6 and the Securities Industry Essentials Examination—and one multi-state securities law exam, Series 63. She has worked across various locations but primarily in Scottsdale, AZ, and has recently been involved in insurance and financial services through TCFG Insurance Solutions, LLC.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Janie Garza-Clark Customer Complaints and Reviews
Janie Garza-Clark has multiple disclosure events on her record:
- Regulatory Event (2022): She was barred by FINRA for refusing to appear for on-the-record testimony regarding an investigation into her relationship with a former client, including potentially receiving cash gifts.
- Customer Disputes (Settled):
- A claim from 2020 alleging unsuitable investment advice with damages sought of $950,000; settled for $290,000.
- A 2015 dispute involving a variable annuity with undisclosed transfer penalties and surrender charges; settled for the full amount of $290,549.
- Terminations:
- Discharged from Hornor, Townsend & Kent, Inc. in 2015 for policy violations related to handling client information and documentation.
- Permitted to resign from TCFG Wealth Management, LLC in 2020 after an internal investigation related to non-disclosure of personal gifts from a client.
Allegations Against Margarita Figueroa
- Regulatory Action (2022): Failed to comply with FINRA’s request for testimony in an investigation into improper financial relations with a client.
- Customer Complaints:
- 2020 Allegation: Claimed loss due to unsuitable investment recommendations spanning various financial products.
- 2015 Allegation: Misunderstandings related to the terms of a variable annuity leading to full settlement of the claimed amount.
- Terminations:
- 2015 Termination: Violations of company policies regarding the management of client documents and failure to supervise.
- 2020 Termination: Non-disclosure of personal gifts from a client contrary to company policy.
Janie Garza-Clark Red Flags & Your Rights As An Investor
Of course, Janie Garza-Clark did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Janie Garza-Clark at TCFG Wealth Management, LLC and Sagepoint Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Janie Garza-Clark has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TCFG Wealth Management, LLC and Sagepoint Financial, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At TCFG Wealth Management, LLC Due To Janie Garza-Clark
If you have questions about TCFG Wealth Management, LLC, Sagepoint Financial, Inc. and/or Janie Garza-Clark and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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