Investors might have sustained losses due to securities broker Carroll Mac Wilson Jr. [CRD: 2777324, Beverly Hills, California], based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Wilson was employed by U.S. Bancorp Investments Inc. from May 18, 2005, to August 25, 2022. Continue reading to learn more about the disclosures involving Carroll Wilson.
Specifically, on November 7, 2023, a U.S. Bancorp Investments Inc. client filed a complaint about Carroll Wilson. Supposedly, Wilson did not sell the investment as instructed in November. Because of this, the client allegedly sustained damages on mutual funds. Because of this, the client requested $26,916.17 in compensation from U.S. Bancorp Investments Inc. or Wilson.
Also, on March 29, 2023, a U.S. Bancorp Investments Inc. client filed a complaint about Carroll Wilson. Evidently, the client alleged that Wilson failed to follow his instructions on January 7, 2022. Therefore, the client allegedly incurred damages on mutual funds. Consequently, the client requested $12,090.69 in compensation from U.S. Bancorp Investments Inc. or Wilson. However, the firm denied this complaint.
Specifically, on August 3, 2009, a U.S. Bancorp Investments Inc. client filed a complaint about Carroll Wilson. Evidently, the client alleged that Wilson recommended an investment that was unsuitable for their circumstances. Because of this, the client allegedly sustained damages on variable annuities. Consequently, the client requested $48,413.62 in compensation from U.S. Bancorp Investments Inc. or Wilson. However, the securities firm denied this complaint.
Did you experience losses because of Carroll Wilson? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Wilson and the brokerage firms he worked for deny accusations 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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