Soreide Law Group is investigating possible investor claims against securities broker Bobby Sullins (CRD: 4173425, Pell City, Alabama). Notably, FINRA sanctioned the securities broker, who worked for BBT Securities LLC. Allegedly, Sullins failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Sullins.
Supposedly, on December 10, 2021, FINRA issued FINRA Case No. 2021070304001 sanctioning Bobby Sullins for infractions. Specifically, Sullins was barred as a securities broker. Notably, FINRA alleged that Sullins failed to respond to FINRA’s request for information.
In accordance with FINRA Rule 9552(h) and based on the Notice of Suspension and Suspension from Association letters from FINRA on September 7, 2021, and October 1, 2021, respectively, Sullins cannot associate with any FINRA member in any capacity, effective from December 10, 2021. Sullins did not request the termination of his suspension within the three-month timeframe specified in the Notice of Suspension. Consequently, he is automatically barred from any association with a FINRA member in any capacity.
Evidently, BBT Securities LLC disaffiliated with Sullins on January 13, 2021. Allegedly, Sullins did not comply with an internal investigation.
Did you sustain damages by investing with Bobby Sullins? If you have, reach out to Soreide Law Group at (888) 760-6552 and talk with an investment lawyer about a possible recovery of your losses. Soreide Law Group, who has recovered money for investors across the United States, represents clients on a contingency fee basis and advances costs. Sullins and brokerage firms Sullins worked for deny accusations against them.
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 […]
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