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Grant Birkley Formerly With Sagepoint Financial, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct

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

Grant Birkley

Grant Birkley (CRD #2933533) 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 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Grant Birkley has had his own share regulatory problems. In June 2021, consented to this sanction the entry of findings that it refused to produce the information and documents requested by FINRA and consequently was permanently barred for many further association with any member firm in the future.

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Grant Birkley Customer Complaints

Grant Birkley has been the subject of 3 customer complaints that we know about to recover investment losses. Two of the customer complaints were settled by SagePoint Financial for $1.25 million and $625,000 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:

  • Advisor participated in client purchase of unapproved private investment.
  • Recommendation of an inappropriate 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 at Sagepoint Financial, Inc. 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. 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?

best investment fraud lawyers

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 Sagepoint Financial, Inc. Due To Grant Birkley

If you have questions about Sagepoint Financial, Inc. 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.

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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.

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