{"id":10236,"date":"2021-10-19T12:41:53","date_gmt":"2021-10-19T16:41:53","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10236"},"modified":"2021-10-19T12:41:53","modified_gmt":"2021-10-19T16:41:53","slug":"finra-bars-former-sagepoint-brokers-cynthia-komarek-grant-birkley-after-unapproved-referrals","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-former-sagepoint-brokers-cynthia-komarek-grant-birkley-after-unapproved-referrals\/","title":{"rendered":"FINRA Bars Former SagePoint Brokers Cynthia Komarek &#038; Grant Birkley After Unapproved Referrals"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-10205 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/FiverrLossesSmall.jpg\" alt=\"Cynthia Komarek &amp; Grant Birkley, two brokers formerly registered with SagePoint Financial of Barrington, IL, were terminated on the same day after the firm discovered that they were engaged in making referrals to an outside asset manager who was not approved by the board.  Cynthia Komarek (CRD#: 1188714, aka (Cynthia Ann Brown, Cynthia Brown-Komarek, Cynthia Brown Komarek, Cynthia Brown Pearson) is a former registered broker and investment advisor last employed with SagePoint. Her previous employers include Wells Fargo Clearing Services, LLC (CRD#:19616) of Woodstock, IL., Merrill Lynch, Pierce, Fenner &amp; Smith Incorporated (CRD#:7691) of Crystal Lake, IL., and Lehman Brothers Inc. (CRD#:7506), of New York, NY. She has been in the industry since 1983.  Grant Birkley (Grant Christopher Birkley CRD#: 2933533) is also formerly registered with SagePoint, Wells Fargo, and Merrill Lynch at the same time as Komarek. He has been in the industry since 1998.\u00a0  Two client disputes were filed on the same day for both Komarek and Birkley. In Komarek\u2019s case, they total $2,330,000:\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/FiverrLossesSmall.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/FiverrLossesSmall-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Cynthia Komarek &amp; Grant Birkley, two brokers formerly registered with SagePoint Financial of Barrington, IL, were terminated on the same day after the firm discovered that they were engaged in making referrals to an outside asset manager who was not approved by the board. <a href=\"https:\/\/www.silverlaw.com\/blog\/finra-bars-former-sagepoint-brokers-cynthia-komarek-grant-birkley-after-unapproved-referrals\/#more-10236\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Cynthia Komarek &amp; Grant Birkley, two brokers formerly registered with SagePoint Financial of Barrington, IL, were terminated on the same day after the firm discovered that they were engaged in making referrals to an outside asset manager who was not approved by the board. Continue reading \u203a<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[1],"tags":[],"class_list":["post-10236","post","type-post","status-publish","format-standard","hentry","category-uncategorized"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>FINRA Bars Former SagePoint Brokers Cynthia Komarek &amp; Grant Birkley<\/title>\n<meta name=\"description\" content=\"Cynthia Komarek &amp; Grant Birkley, two brokers formerly registered with SagePoint Financial of Barrington, IL, were terminated on the same day.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-bars-former-sagepoint-brokers-cynthia-komarek-grant-birkley-after-unapproved-referrals\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Bars Former SagePoint Brokers Cynthia Komarek &amp; Grant Birkley\" \/>\n<meta name=\"twitter:description\" content=\"Cynthia Komarek &amp; Grant Birkley, two brokers formerly registered with SagePoint Financial of Barrington, IL, were terminated on the same day.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/FiverrLossesSmall.jpg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"FINRA Bars Former SagePoint Brokers Cynthia Komarek & Grant Birkley","description":"Cynthia Komarek & Grant Birkley, two brokers formerly registered with SagePoint Financial of Barrington, IL, were terminated on the same day.","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/finra-bars-former-sagepoint-brokers-cynthia-komarek-grant-birkley-after-unapproved-referrals\/","twitter_card":"summary_large_image","twitter_title":"FINRA Bars Former SagePoint Brokers Cynthia Komarek & Grant Birkley","twitter_description":"Cynthia Komarek & Grant Birkley, two brokers formerly registered with SagePoint Financial of Barrington, IL, were terminated on the same day.","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/FiverrLossesSmall.jpg","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-former-sagepoint-brokers-cynthia-komarek-grant-birkley-after-unapproved-referrals\/#article","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-former-sagepoint-brokers-cynthia-komarek-grant-birkley-after-unapproved-referrals\/"},"author":{"name":"Silver Law Group","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"headline":"FINRA Bars Former SagePoint Brokers Cynthia Komarek &#038; Grant Birkley After Unapproved Referrals","datePublished":"2021-10-19T16:41:53+00:00","mainEntityOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-former-sagepoint-brokers-cynthia-komarek-grant-birkley-after-unapproved-referrals\/"},"wordCount":462,"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-former-sagepoint-brokers-cynthia-komarek-grant-birkley-after-unapproved-referrals\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/FiverrLossesSmall.jpg","inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-former-sagepoint-brokers-cynthia-komarek-grant-birkley-after-unapproved-referrals\/","url":"https:\/\/www.silverlaw.com\/blog\/finra-bars-former-sagepoint-brokers-cynthia-komarek-grant-birkley-after-unapproved-referrals\/","name":"FINRA Bars Former SagePoint Brokers Cynthia Komarek & Grant Birkley","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-former-sagepoint-brokers-cynthia-komarek-grant-birkley-after-unapproved-referrals\/#primaryimage"},"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-former-sagepoint-brokers-cynthia-komarek-grant-birkley-after-unapproved-referrals\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/FiverrLossesSmall.jpg","datePublished":"2021-10-19T16:41:53+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"Cynthia Komarek & Grant Birkley, two brokers formerly registered with SagePoint Financial of Barrington, IL, were terminated on the same day.","breadcrumb":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-former-sagepoint-brokers-cynthia-komarek-grant-birkley-after-unapproved-referrals\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.silverlaw.com\/blog\/finra-bars-former-sagepoint-brokers-cynthia-komarek-grant-birkley-after-unapproved-referrals\/"]}]},{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-former-sagepoint-brokers-cynthia-komarek-grant-birkley-after-unapproved-referrals\/#primaryimage","url":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/FiverrLossesSmall.jpg","contentUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/FiverrLossesSmall.jpg","width":300,"height":200},{"@type":"BreadcrumbList","@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-former-sagepoint-brokers-cynthia-komarek-grant-birkley-after-unapproved-referrals\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.silverlaw.com\/blog\/"},{"@type":"ListItem","position":2,"name":"FINRA Bars Former SagePoint Brokers Cynthia Komarek &#038; Grant Birkley After Unapproved Referrals"}]},{"@type":"WebSite","@id":"https:\/\/www.silverlaw.com\/blog\/#website","url":"https:\/\/www.silverlaw.com\/blog\/","name":"Securities Arbitration Lawyers Blog","description":"Published by Securities Arbitration Lawyers \u2014 Silver Law Group","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.silverlaw.com\/blog\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752","name":"Silver Law Group","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","url":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","caption":"Silver Law Group"}}]}},"jetpack_featured_media_url":"","_links":{"self":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/10236","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/comments?post=10236"}],"version-history":[{"count":1,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/10236\/revisions"}],"predecessor-version":[{"id":10237,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/10236\/revisions\/10237"}],"wp:attachment":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/media?parent=10236"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/categories?post=10236"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/tags?post=10236"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}