Soreide Law Group is examining an investor dispute concerning securities broker Allyson William Trantum aka Allyson Jo Wilson (CRD#: 2896970, Temecula, California), as disclosed on FINRA BrokerCheck. Particularly, Trantum, who works for securities firm JW Cole Financial Inc. and investment advisory JW Cole Advisors Inc., is involved in an investor dispute about the surrender of an annuity. Additionally, her former employer LPL Financial LLC permitted her to resign. Read the following summary of disclosures as reported on BrokerCheck for more information on the allegations against this securities broker.
Evidently, a client of JW Cole Financial Inc. contested Allyson Trantum’s sales practices by bringing an investment dispute in March 2021. Supposedly, the client realized damages because of an annuity surrender. It appears that by surrendering the annuity, the client lost a lifetime income guarantee. Therefore, to settle this matter without admitting liability, the securities firm agreed to compensate the client in the amount of $400,000 in March 2022.
Also, BrokerCheck shows that Trantum worked as a securities broker and financial advisor with LPL Financial LLC. She commenced employment in 2016. But in 2018, the firm permitted her to resign after she allegedly violated policy. Supposedly, Trantum shared a client’s information without authorization.
Apparently, securities broker Allyson Trantum denies allegations against her. Have you experienced investment losses by interacting with this broker? You could reach out to Soreide Law Group at (888) 760-6552 so you can speak with experienced counsel concerning a possible recovery. Soreide Law Group takes clients’ cases on a contingency fee basis and advances all costs. The law firm has recovered significant compensation for US clients who have experienced losses from securities brokers or financial advisors.
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