Cynthia Komarek Barred from The Securities Industry by FINRA for Refusing to Cooperate In Investigation

2021-06-17T13:31:00-05:00June 17th, 2021|FINRA - Broker Actions, Private Placements, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Cynthia Komarek (CRD # 1188714) was recently barred from the securities industry by FINRA’s [...]

Grant C. Birkley Barred from Securities Industry by FINRA for Refusing to Cooperate In Investigation

2021-06-16T19:06:59-05:00June 16th, 2021|FINRA - Broker Actions, Private Placements, Securities Law, Uncategorized|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Grant C. Birkley (CRD # 2933533) was recently barred from the securities industry by [...]

SagePoint Financial, Inc. Sanctioned by FINRA for Failure to Supervise Regarding UIT’s

2020-06-28T14:50:57-05:00June 15th, 2020|Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, SagePoint Financial, Inc. (hereinafter “SagePoint”) (CRD # 133763) was recently sanctioned by [...]

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