Mark James Sudol, of Gardena, California, is the subject of a customer initiated investment related arbitration claim on May 1, 2017, wherein the customer sought $500,000.00 in damages based upon allegations that Sudol breached his fiduciary duties, effected transactions in the customer’s account that were not suitable, negligently managed the customer’s portfolio, and made misrepresentations regarding real estate investment trusts and direct investment products. The customer further alleged that Sagepoint Financial failed to supervise Sudol’s activities concerning the customer’s alternative investment transactions.

Financial Industry Regulatory Authority (FINRA) Public Disclosure also reveals that on September 20, 2011, a customer filed an investment related written complaint involving Sudol’s conduct, based upon allegations that he charged the customer excessive fees on a variable annuity. On February 24, 2013, another a customer initiated investment related arbitration claim regarding Sudol’s activities was resolved for $6,000.00 in damages based upon allegations that he effected purchases of a unit investment trust, real estate investment trust, and variable annuity that were not suitable for the customer.

Since November 10, 2016, Sudol has been associated with Ameriprise Financial Services, Inc.

Guiliano Law Group

Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at stockbrokerfraud.com

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com

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