BARRINGTON, ILLINOIS
Have you lost money with financial advisors Cynthia Komarek and Grant Birkley of Barrington, Illinois? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Cynthia Komarek and Grant Birkley. FINRA barred both Komarek and Birkley after they failed to respond to an investigation. Komarek and Birkley were being investigated after they were alleged to have referred investors to Family Wealth Legacy and Zolla High Yield Fund, which were not approved by their former brokerage firm, SagePoint Financial.
Cynthia Komarek and Craig Birkley were financial advisors and registered representatives of SagePoint Financial from November 2017 to August 2020. They worked at a branch office in Barrington, Illinois. Komarek and Birkley were also terminated by SagePoint Financial. They both have been the subject of claims related to Family Wealth Legacy and Zolla High Yield Fund.
Brokerage firms like SagePoint Financial have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Phoenix, Arizona; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Illinois in the past. Attorney David Neuman was born in the Chicago area and practiced for many years in the Chicago area. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against SagePoint Financial.
Click to view BROKERCHECK: Komarek, Cynthia BrokerCheck 6.7.21
Click to view BROKERCHECK: Birkley, Grant BrokerCheck 6.7.21
Click to view FINRA AWC: Komarek, Cynthia FINRA AWC
Click to view FINRA AWC: Birkley, Grant FINRA AWC