{"id":19818,"date":"2021-06-22T10:56:49","date_gmt":"2021-06-22T15:56:49","guid":{"rendered":"https:\/\/www.investorlawyers.com\/blog\/?p=19818"},"modified":"2022-03-23T13:23:36","modified_gmt":"2022-03-23T18:23:36","slug":"sigma-financial-4-5m-arbitration-claims","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/sigma-financial-4-5m-arbitration-claims\/","title":{"rendered":"Sigma Financial is Facing $4.5M in Possible Damages from Customer Claims Arbitration"},"content":{"rendered":"<h2><span style=\"font-weight: 400;\">Recent Report to SEC Notes Four Pending Disputes Against Sigma Financial<\/span><\/h2>\n<p><span style=\"font-weight: 400;\">InvestmentNews reports that according to Sigma Financial Corp.&#8217;s recent <\/span><span style=\"font-weight: 400;\">Focus Report<\/span><span style=\"font-weight: 400;\"> to the Securities and Exchange Commission (SEC), the firm is contending with four pending Financial Industry Regulatory Authority (FINRA) arbitration claims from customers alleging damages of approximately $4.5M. The broker-dealer noted that it has put aside nearly $652K should these claims result in settlements or awards.\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">Our broker-dealer negligence lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) are representing clients who have suffered losses because of the negligence or fraudulent actions of a Sigma Financial broker. Call us at <a href=\"tel: 8002599010\">(800) 259-9010<\/a> today.<\/span><\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.investorlawyers.com\/blog\/sigma-financial-4-5m-arbitration-claims\/\"  title=\"Continue Reading Sigma Financial is Facing $4.5M in Possible Damages from Customer Claims Arbitration\" class=\"more-link\">Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Recent Report to SEC Notes Four Pending Disputes Against Sigma Financial InvestmentNews reports that according to Sigma Financial Corp.&#8217;s recent Focus Report to the Securities and Exchange Commission (SEC), the firm is contending with four pending Financial Industry Regulatory Authority (FINRA) arbitration claims from customers alleging damages of approximately $4.5M. The broker-dealer noted that it [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":19819,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3739,4569],"tags":[4314,4230],"class_list":["post-19818","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-finra","category-sigma-financial","tag-finra-arbitration","tag-sigma-financial"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Sigma Financial Faces $4.5m in Investor Arbitration Claims | Investor Lawyers<\/title>\n<meta name=\"description\" content=\"Sigma Financial is facing four pending FINRA claims alleging damages of up to $4.5M. Customers are claiming the firm acted negligently.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/sigma-financial-4-5m-arbitration-claims\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Sigma Financial Faces $4.5m in Investor Arbitration Claims | Investor Lawyers\" \/>\n<meta name=\"twitter:description\" content=\"Sigma Financial is facing four pending FINRA claims alleging damages of up to $4.5M. Customers are claiming the firm acted negligently.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2021\/06\/March-Blog-Op-11-What-To-Know-About-Suing-Your-Broker-or-Investment-Adviser-For-Fraud-In-FINRA-Arbitration-During-COVID-19.jpg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Shepherd Smith Edwards &amp; Kantas, LLP\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Sigma Financial Faces $4.5m in Investor Arbitration Claims | Investor Lawyers","description":"Sigma Financial is facing four pending FINRA claims alleging damages of up to $4.5M. Customers are claiming the firm acted negligently.","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.investorlawyers.com\/blog\/sigma-financial-4-5m-arbitration-claims\/","twitter_card":"summary_large_image","twitter_title":"Sigma Financial Faces $4.5m in Investor Arbitration Claims | Investor Lawyers","twitter_description":"Sigma Financial is facing four pending FINRA claims alleging damages of up to $4.5M. Customers are claiming the firm acted negligently.","twitter_image":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2021\/06\/March-Blog-Op-11-What-To-Know-About-Suing-Your-Broker-or-Investment-Adviser-For-Fraud-In-FINRA-Arbitration-During-COVID-19.jpg","twitter_misc":{"Written by":"Shepherd Smith Edwards &amp; Kantas, LLP","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.investorlawyers.com\/blog\/sigma-financial-4-5m-arbitration-claims\/#article","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/sigma-financial-4-5m-arbitration-claims\/"},"author":{"name":"Shepherd Smith Edwards &amp; Kantas, LLP","@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"headline":"Sigma Financial is Facing $4.5M in Possible Damages from Customer Claims Arbitration","datePublished":"2021-06-22T15:56:49+00:00","dateModified":"2022-03-23T18:23:36+00:00","mainEntityOfPage":{"@id":"https:\/\/www.investorlawyers.com\/blog\/sigma-financial-4-5m-arbitration-claims\/"},"wordCount":516,"image":{"@id":"https:\/\/www.investorlawyers.com\/blog\/sigma-financial-4-5m-arbitration-claims\/#primaryimage"},"thumbnailUrl":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2021\/06\/March-Blog-Op-11-What-To-Know-About-Suing-Your-Broker-or-Investment-Adviser-For-Fraud-In-FINRA-Arbitration-During-COVID-19.jpg","keywords":["FINRA arbitration","Sigma Financial"],"articleSection":["FINRA","Sigma Financial"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.investorlawyers.com\/blog\/sigma-financial-4-5m-arbitration-claims\/","url":"https:\/\/www.investorlawyers.com\/blog\/sigma-financial-4-5m-arbitration-claims\/","name":"Sigma Financial Faces $4.5m in Investor Arbitration Claims | Investor Lawyers","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.investorlawyers.com\/blog\/sigma-financial-4-5m-arbitration-claims\/#primaryimage"},"image":{"@id":"https:\/\/www.investorlawyers.com\/blog\/sigma-financial-4-5m-arbitration-claims\/#primaryimage"},"thumbnailUrl":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2021\/06\/March-Blog-Op-11-What-To-Know-About-Suing-Your-Broker-or-Investment-Adviser-For-Fraud-In-FINRA-Arbitration-During-COVID-19.jpg","datePublished":"2021-06-22T15:56:49+00:00","dateModified":"2022-03-23T18:23:36+00:00","author":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"description":"Sigma Financial is facing four pending FINRA claims alleging damages of up to $4.5M. Customers are claiming the firm acted negligently.","breadcrumb":{"@id":"https:\/\/www.investorlawyers.com\/blog\/sigma-financial-4-5m-arbitration-claims\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.investorlawyers.com\/blog\/sigma-financial-4-5m-arbitration-claims\/"]}]},{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.investorlawyers.com\/blog\/sigma-financial-4-5m-arbitration-claims\/#primaryimage","url":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2021\/06\/March-Blog-Op-11-What-To-Know-About-Suing-Your-Broker-or-Investment-Adviser-For-Fraud-In-FINRA-Arbitration-During-COVID-19.jpg","contentUrl":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2021\/06\/March-Blog-Op-11-What-To-Know-About-Suing-Your-Broker-or-Investment-Adviser-For-Fraud-In-FINRA-Arbitration-During-COVID-19.jpg","width":640,"height":426,"caption":"A recent report submitted to the SEC claims that Sigma Financial is contending four pending FINRA claims that allege damages up to $4.5M."},{"@type":"BreadcrumbList","@id":"https:\/\/www.investorlawyers.com\/blog\/sigma-financial-4-5m-arbitration-claims\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.investorlawyers.com\/blog\/"},{"@type":"ListItem","position":2,"name":"Sigma Financial is Facing $4.5M in Possible Damages from Customer Claims Arbitration"}]},{"@type":"WebSite","@id":"https:\/\/www.investorlawyers.com\/blog\/#website","url":"https:\/\/www.investorlawyers.com\/blog\/","name":"Investor Lawyers Blog","description":"Published By Investment Fraud Attorneys \u2014 Shepherd Smith Edwards &amp; Kantas, LLP","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.investorlawyers.com\/blog\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431","name":"Shepherd Smith Edwards &amp; Kantas, LLP","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/secure.gravatar.com\/avatar\/c7f8f04990816cd4044977eb59908da8c8d1ae487cc919cebd7027b74a0740a3?s=96&d=mm&r=g","url":"https:\/\/secure.gravatar.com\/avatar\/c7f8f04990816cd4044977eb59908da8c8d1ae487cc919cebd7027b74a0740a3?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/c7f8f04990816cd4044977eb59908da8c8d1ae487cc919cebd7027b74a0740a3?s=96&d=mm&r=g","caption":"Shepherd Smith Edwards &amp; Kantas, LLP"},"sameAs":["https:\/\/www.investorlawyers.com\/"]}]}},"jetpack_featured_media_url":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2021\/06\/March-Blog-Op-11-What-To-Know-About-Suing-Your-Broker-or-Investment-Adviser-For-Fraud-In-FINRA-Arbitration-During-COVID-19.jpg","jetpack_shortlink":"https:\/\/wp.me\/pedX9K-59E","_links":{"self":[{"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/posts\/19818","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/comments?post=19818"}],"version-history":[{"count":2,"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/posts\/19818\/revisions"}],"predecessor-version":[{"id":25399,"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/posts\/19818\/revisions\/25399"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/media\/19819"}],"wp:attachment":[{"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/media?parent=19818"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/categories?post=19818"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/tags?post=19818"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}