| Read Time: 2 minutes | Sagepoint Financial Complaints | Wells Fargo Advisors Complaints |


Grant Birkley Formerly With Sagepoint Financial, Inc. and Wells Fargo Clearing Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Grant Birkley formerly with Sagepoint Financial, Inc.?

Grant Birkley (CRD #293333) who was formerly registered with Sagepoint Financial, Inc. and located in Barrington, Illinois, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Sagepoint Financial, Inc., Grant Birkley was associated with Wells Fargo Clearing Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Grant Birkley also had issues with FINRA in connection with one of its investigations. He refused to cooperate and was permanently barred from any further association with any securities broker-dealer.

Grant Birkley Customer Complaints

Grant Birkley has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was settled by SagePoint Financial and the other remains pending in a FINRA arbitration proceeding

Allegations Against Grant Birkley

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • An inappropriate involvement in the sale of an unapproved product involving a private investment fund which was settled by SagePoint for $625,000.
  • Recommendation of an investment of $2.4 million in an unapproved investment fund.

Grant Birkley Red Flags & Your Rights As An Investor

Of course, Grant Birkley 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 Grant Birkley formerly at Sagepoint Financial, Inc. and Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Grant Birkley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sagepoint Financial, Inc. and Wells Fargo Clearing Services, LLC 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.

File A Claim To Recover Your Investment Losses At Sagepoint Financial, Inc. Due To Grant Birkley

If you have questions about Sagepoint Financial, Inc. and Wells Fargo Clearing Services, LLC and/or Grant Birkley 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.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars