Barred SagePoint Financial Broker Accused of Selling Away
Grant Christopher Birkley, an ex-SagePoint Financial stockbroker, is named in two pending customer disputes. He is accused of selling investment products that were not approved by his firm.
SagePoint Financial fired him last August after he admitted to making referrals to an external manager without the broker-dealer’s approval. In June, FINRA barred Birkley indefinitely after he declined to provide documents and information related to the self-regulatory authority’s probe into his termination by SagePoint.