Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Grant Birkley (Birkley), previously associated with Sagepoint Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Birkley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,600,000.00 on June 23, 2023.
Rep is alleged to have aided and participated in client purchase of unapproved investment