Soreide Law Group is investigating possible investor claims against Brad Richard Small (CRD: 3173556, Reading, Pennsylvania). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for American Portfolios Financial Services Inc. Evidently, one or more investors alleged misconduct in these disputes, including that Small breached a contract. Here is a brief summary of the disclosures about Small.
Notably, an American Portfolios Financial Services Inc. client filed Civil Suit: 20-19058 about Brad Small. Namely, the client alleged that Small breached a contract. Because of this, the client allegedly sustained damages. Therefore, on September 22, 2021, American Portfolios Financial Services Inc. settled this matter by paying the client $10,000 in damages.
Also, on June 6, 2005, Thrivent Investment Management Inc. disaffiliated with Small. Evidently, Thrivent Investment Management Inc. alleged that Small failed to disclose a non-authorized brokerage.
Small joined American Portfolios Financial Services Inc. as a securities broker in December 2021 and became a financial advisor of American Portfolios Advisors Inc. in December 2011.
Did you suffer damages because of broker Brad Small? If you have, get in touch with Soreide Law Group at (888) 760-6552 and speak with an experienced securities attorney about a possible recovery of your investment losses. Soreide Law Group, who has helped recover money for investors within all 50 states, represents clients on a contingency fee basis and advances costs. Small and brokerage firms Small worked for deny all 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