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Investment Loss Recovery Options for Keith Pasternak

Did you sustain investment losses with Keith Pasternak, formerly of Sagepoint Financial? If so, those losses might be recoverable against Sagepoint Financial. In late 2013, Pasternak was suspended from the securities industry for 12 months. He consented to a finding by FINRA Enforcement, the main regulator for the securities industry, that he told a customer that he was a victim of identity theft and asked the customer to loan him money so he could “straighten out his finances.” The findings stated that the customer agreed to loan him the money and Pasternak borrowed a total of $9,000 from the customer. None of the loans were documented. While affiliated with Sagepoint, the firm was obligated to supervise his activities in the securities industry. Failure to do so could make Sagepoint liable for any customer losses. To learn more about ALL legal options, including lawsuits and FINRA arbitration claims, please call our law firm in Chicago, Illinois.

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