Investors apparently complained about securities broker Cary Edward Urich [CRD: 2132001, Greenville, South Carolina], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Urich joined Vanderbilt Securities LLC, Consolidated Portfolio Review Corp, and Vanderbilt Advisory Services, all located in Greenville, South Carolina, in 2024-2025. He previously worked with United Planners’ Financial Services of America from September 21, 2017 to December 31, 2023. Keep reading to find out more about the client disputes involving Cary Urich.
Notably, a client filed a complaint about Cary Urich. The client alleged that Urich made unsuitable recommendations, breached his fiduciary duty, and was negligent. As a result, the client allegedly sustained damages linked to leveraged investments. Thus, on September 13, 2024, United Planners’ Financial Services of America settled this matter by paying the client $325,000.00 in damages.
Particularly, a client of United Planners’ Financial Services of America disputed Cary Urich’s sales practices by filing FINRA Arbitration No. 22-01463. Allegedly, Urich made misrepresentations and omissions, breached his fiduciary duty, and violated FINRA Rules. It appears that Urich caused the client to sustain damages relating to leveraged investments. So, United Planners opted to settle the matter on August 29, 2023, by compensating the client in the amount of $450,000.00.
Cary Urich was discharged from Raymond James Financial Services Inc. on October 21, 2010, after the firm alleged misrepresentation relating to her prior employment. Just weeks earlier, on September 27, 2010, Urich had resigned from JJB Hilliard WL Lyons LLC after allegedly accepting a gift from a client without firm approval.
Did you experience losses because of Cary Urich? You can touch base with Soreide Law Group at (888) 760-6552 or online and consult with a securities attorney. Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm works on a contingency fee arrangement and advances all costs. Urich and brokerage firms Urich 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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