FINRA was investigating Birkley’s admission that he made referrals to an outside asset manager without approval.
Grant Christopher Birkley (CRD: 2933533) was registered as a broker with Sagepoint Financial from 2017 until 2020. Previously, Berkeley was registered as a broker with Wells Fargo from 2008 until 2017.
Berkeley has four disclosures on his BrokerCheck report.
June 2021 Regulatory Judgment
- Status: Final
- Initiated By: FINRA
- Allegations: Without admitting or denying the findings, Berkeley consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA during the course of its investigation of a Form U5 filed by his member firm. The findings stated that the firm filed the Form U5 stating that it discharged Birkley after he admitted making referrals to an outside asset manager without the firm’s approval.
- Resolution: Acceptance, Waiver & Consent (AWC)
- Sanctions: Bar
- Registration Capacities Affected: All Capacities
- Duration: Indefinite
- Start Date: 6/4/2021
August 2020 Customer Dispute
- Status: Pending
- Allegations: Inappropriate involvement of unapproved product is alleged.
- Settlement Amount: $1,430,000.00
August 2020 Employment Separation After Allegations
- Firm Name: SagePoint
- Termination Type: Discharged
- Allegations: Registrant admitted to making referrals to an outside asset manager without approval of the bd.
August 2020 Customer Dispute
- Status: Pending
- Allegations: Recommendation of inappropriate fund (not bd approved)
- Settlement Amount: $900,000.00
Contact Us Today
The Sonn Law Group is currently investigating allegations surrounding Grant Birkley. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.
CONTACT US FOR A FREE CONSULTATION
Se Habla Español
Contact our office today to discuss your case. You can reach us by phone at 844-689-5754 or via e-mail. To send us an e-mail, simply complete and submit the online form below.