Daniel Edward Becerril II (CRD #4489715, Registered Representative, Huntington Beach, California)
has been barred from association with any FINRA member in any capacity and this sanction was based on FINRA's findings that Becerril made willful misrepresentations and omissions to his customer by telling her that he would invest an $11,500 inheritance in a mutual fund, when in fact he deposited the funds in an account that he controlled, and converted the funds to his own use.
FINRA's findings stated that Becerril misused his customer’s funds and engaged in an extended course of misconduct to avoid and postpone the return of the customer’s funds.
These findings also stated that Becerril failed to produce documents FINRA requested during an on-the-record interview.
(FINRA Case #2009018944001)
This information was obtained on FINRA's website under "Disciplinary and Other Actions, June, 2012."
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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