Mark Sullivan (CRD 2531982) is a Bethlehem, Pennsylvania broker. FINRA suspended him from association with any member firm in all capacities for three months and assessed a deferred fine of $10,000, according to an AWC issued August 6, 2026.
Soreide Law Group is investigating possible investor claims against securities broker Clark Owen [CRD #: 6096730, Cupertino, CA]. Owen worked for (1) Cetera Investment Advisors and Cetera Investment Services from 2018-Present; (2) NI Advisors from 2016-2018; and (3) Voya Financial Advisors from 2014-2015.
Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that a NI Advisors client disputed Owen’s sales practices. Also, Voya Financial Advisors discharged him as a securities broker. Here is a brief summary of the disclosures on Owen:
Evidently, a client of NI Advisors contested Clark Owen’s sales practices by filing FINRA Arbitration #: 22-01153 on June 3, 2022. Allegedly, Owen engaged in unspecified sales practice violations. Supposedly, the corporate bonds transactions connected to this securities broker caused the client to sustain damages. Therefore, the client seeks compensatory relief from NI Advisors or Owen in the amount of $114,000 in this ongoing matter.
FINRA shows that Voya Financial Advisors discharged Clark Owen as a securities broker in April 2015. Supposedly, Owen did not follow company policy regarding advertisements.
Did you sustain damages through any sales practice violations by Clark Owen? If so, reach out to Soreide Law Group at (888) 760-6552 to discuss your situation with a securities lawyer about a potential recovery of your investment damages. Notably, Soreide Law Group has successfully recovered money for hundreds of investors in all 50 states. The firm represents clients through a contingency fee arrangement and advances all costs. Owen and brokerage firms Owen associated with deny all allegations against them.
Mark Sullivan (CRD 2531982) is a Bethlehem, Pennsylvania broker. FINRA suspended him from association with any member firm in all capacities for three months and assessed a deferred fine of $10,000, according to an AWC issued August 6, 2026.
Moors & Cabot, Inc. (CRD 594) is a brokerage firm based in Boston, Massachusetts. FINRA censured and fined the firm $125,000 after finding it failed to develop and implement an anti-money laundering compliance program reasonably expected to detect and report suspicious transactions, according to an AWC issued August 24, 2026.
Cowen and Company, LLC (CRD 7616), now part of TD Securities (USA) LLC, is a brokerage firm based in New York, New York. FINRA censured and fined the firm a total of $80,000, of which $40,000 is payable to FINRA, according to an AWC issued August 19, 2026.
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