CAROLYN MARIE DAMMEYER (CAROLYN M DAMMEYER) has been permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm. The start date of the bar was 4/16/2026. Dammeyer was registered as a broker with W&S BROKERAGE SERVICES INC of Celina, Ohio, from 07/13/2018 - 06/06/2025.
The Regulatory disclosure was initiated against CAROLYN M DAMMEYER by FINRA. The allegations for the action were, “Respondent Dammeyer failed to respond to FINRA requests for information.” Moreover, FINRA also included a Regulator Statement. “Pursuant to FINRA Rule 9552(h) and in accordance with FINRA's Notice of Suspension and Suspension from Association letters dated January 13, 2026 and February 9, 2026, respectively, on April 16, 2026, Dammeyer is barred from association with any FINRA member in all capacities. Dammeyer failed to request termination of her suspension within three months of the date of the Notice of Suspension; therefore, she is automatically barred from association with any FINRA member in all capacities.”
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, CAROLYN M DAMMEYER had 6 years of experience in the securities industry. She was listed with only one firm, W&S BROKERAGE SERVICES INC of Celina, Ohio.
Dammeyer has 2 disclosures on her FINRA CRD report. One disclosure is the “Regulatory” barring her from the industry. The other disclosure is an “Employment Separation after Allegations,” dated 5/9/2025. According to this disclosure, CAROLYN M DAMMEYER was “permitted to resign” from, Western and Southern Life Insurance Company. The allegations were, “During WSLIC's investigation into Ms. Dammeyer's conduct relating to the reinstatement of certain insurance policies, she resigned. Subsequently, the investigation concluded and determined that she violated Company policies, including its Sales Practices Policy.”
To discuss this article or any other securities issues, contact Soreide Law Group and speak to an experienced securities lawyer at no cost: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA on a contingency fee basis.
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