On June 4, 2021, GRANT CHRISTOPHER BIRKLEY (GRANT BIRKLEY) CRD#: 2933533, formerly with SagePoint Financial of Barrington, Illinois, was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm.
Without admitting or denying FINRA’s findings, GRANT CHRISTOPHER BIRKLEY consented to the sanction and to the entry of findings that he allegedly refused to produce information and documents requested by FINRA during the course of its investigation of a Form U5 filed by his member firm.
Moreover, FINRA’s findings stated that the firm filed Form U5 stating that it discharged Grant Birkley after he allegedly admitted making referrals to an outside asset manager without the firm's approval.
According to FINRA’s BrokerCheck, GRANT CHRISTOPHER BIRKLEY has been in the securities industry for 21 years and has 4 disclosures on his FINRA CRD report. On August 19, 2020, Birkley was discharged from SagePoint following allegations of, “Registrant admitted to making referrals to an outside asset manager without approval of the bd.”
Further, there are two Customer Disputes on Birkley’s FINRA CRD report, both are pending. One was filed August 13, 2020, following allegations of, “recommendation of inappropriate fund (not bd approved),” requesting $900,000.00 in damages. Another dispute was filed August 31, 2020, with allegations of, “inappropriate involvement in sale of unapproved product is alleged,” requesting damages of $1,430,000.00.
According to FINRA’s BrokerCheck, GRANT CHRISTOPHER BIRKLEY was listed with 4 firms, the two most recent are listed below:
11/17/2017 - 08/19/2020 SAGEPOINT FINANCIAL, INC - BARRINGTON, IL
11/14/2008 - 11/28/2017 WELLS FARGO CLEARING SERVICES, LLC - WOODSTOCK, IL
Brokers or financial advisors are not allowed to sell securities or financial products (also known as “selling away”) that have not been approved by their member firm. Moreover, this can be risky to the client since proper due diligence needs to be completed to ensure the product is safe for the customer. However, this violates securities law.
If you’ve experienced losses due to the actions or recommendations of the former SagePoint Finacial of Barrington, IL, broker GRANT CHRISTOPHER BIRKLEY, contact Soreide Law Group and speak to an experienced securities lawyer at no cost regarding the possible recovery of your financial losses through a FINRA arbitration at 888-760-6552.
Soreide Law Group works on a contingency fee basis and represents our clients nationwide before FINRA.
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