Securities lawyers at Soreide Law Group are looking into potential investor claims on behalf of those who potentially incurred losses from Alan M. Mason [CRD: 1302190, New York, New York]. Mason's affiliations include Bradley Woods Co. Ltd. since March 13, 2023, and prior associations with Westpark Capital Inc., among other firms. Investors who have interacted with Mason are encouraged to look through the disclosures concerning his activities in the securities industry.
Specifically, on August 16, 2022, an investor with Westpark Capital Inc. initiated FINRA Arbitration No. 22-01793 against Alan Mason. The investor accused Mason of making unsuitable investment recommendations and breaching fiduciary duty regarding GWG L Bonds. Consequently, the client sought compensation of $5,000,000 from Westpark Capital Inc. or Mason, with the arbitration currently pending.
Notably, a client of Westpark Capital Inc. filed FINRA Arbitration No. 22-01262 regarding Alan Mason. The claim alleged improper recommendations and a lack of due diligence by Mason. This resulted in damages related to GWG L Bond investments. To address this, on March 27, 2023, Westpark Capital Inc. settled the dispute, compensating the investor $33,200.
Also, an investor of GunnAllen Financial Inc. raised issues regarding Alan Mason's sales practices. Namely, the client alleged unsuitable and unauthorized transactions conducted by Mason, leading to investor losses in mutual funds. In response, GunnAllen Financial Inc. chose to settle the matter on May 12, 2009, by providing the investor with compensation totaling $25,000.
Additionally, a client lodged a complaint against Alan Mason while at Gruntal Co. LLC. The allegations centered on overconcentration of an investment portfolio with speculative, unsuitable securities by Mason. This led to unspecified damages for the client. Consequently, on October 17, 2002, Gruntal Co. LLC resolved the matter by paying the client $30,000 in damages.
If your financial portfolio has suffered due to the actions of Alan Mason, it's crucial to take prompt action. Contact Soreide Law Group online or via phone at (888) 760-6552 to engage with a securities attorney regarding the potential recovery of your investment losses. Operating on a contingency fee basis, Soreide Law Group is committed to supporting investors across the nation. Mason and his employers firmly deny any allegations of sales practice violations.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com