National investment loss lawyers KlaymanToskes is investigating Grant Birkley formerly with SagePoint Financial (CRD #293333).
According to FINRA BrokerCheck, Birkley was barred from the securities industry on June 4th, 2021 due to his failure to comply with FINRA’s investigation of his employment separation from SagePoint Financial due to “making referrals to an outside asset manager without the firm’s approval.”
Investors that suffered losses with Grant Birkley (SagePoint Financial) are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at lawrence@klaymantoskes.com to discuss recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
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, a former representative of SagePoint Financial, Inc., located in Barrington, Illinois, has been a subject of a securities industry sales practice abuse investigation. Prior to SagePoint Financial, Inc., 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.
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.
Birkley’s refusal to cooperate in a FINRA investigation resulted in his permanent bar from the securities industry. FINRA is a self-regulatory organization that regulates brokerage firms and individual brokers. The bar prohibits Birkley from associating with any FINRA member firm in any capacity.
The investigation of Birkley’s conduct is ongoing. If you have information about Birkley’s activities or believe you may have suffered losses as a result of his misconduct, please contact our law firm. We represent investors in securities fraud cases and can help you recover your losses.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against Grant Birkley. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encourage to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with Grant Birkley, or have concerns regarding your investment portfolio at Morgan Stanley, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.