Investors have reportedly disputed the sales practices of securities broker Buddy Dean Mason [CRD: 1721391, Lakeland, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Buddy Mason worked for LPL Financial LLC from August 29, 2019, to January 29, 2026. See the following information to find out more about disclosures involving Buddy Mason.
Evidently, an LPL Financial LLC client filed FINRA Arbitration No. 25-02617 about Buddy Mason. Primarily, the client alleged that Mason steered a client towards an investment opportunity away from the firm which resulted in losses. Because of this, the client allegedly experienced damages on direct investments (direct participation programs and limited partnership interests). Consequently, on March 31, 2026 LPL Financial LLC settled this matter by paying the client $129,500.
Unsuitable direct investments sold away from a broker/dealer generally involve a securities broker or financial advisor recommending high-risk or illiquid direct investments that do not match a client’s investment objectives, financial situation, or risk tolerance while also presenting those investments outside the brokerage firm’s supervision. These investments may bypass the firm’s compliance review process and can expose clients to significant risks and losses.
Are you concerned about investments you made through Buddy Mason? Get in touch with Soreide Law Group at (888) 760-6552 or online and talk with a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for hundreds of individuals throughout the country. Also, our securities lawyers represent investors on a contingency fee arrangement and advance all costs. Mason and brokerage firms Mason worked for deny 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 […]
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