Soreide Law Group is investigating possible investor claims against securities broker Corrie Box (also known as Corrie Ann Mitchell) [CRD: 7221410, San Antonio, TX]. Evidently, FINRA sanctioned the securities broker, who worked for Cambridge Investment Research Inc. Allegedly, Box failed to provide information and documents to FINRA when it investigated potential FINRA rule infractions. Here is a brief summary of FINRA’s allegations against Corrie Box.
Evidently, on August 17, 2022, FINRA issued Case: 2022075235602, sanctioning Corrie Box for infractions. Specifically, Corrie Box was barred, so she cannot work as a broker and in other capacities for FINRA-member firms. Notably, FINRA alleged that Box failed to give it information and documents when it investigated potential FINRA rule infractions. The regulator’s rules call for brokers to cooperate in investigations or else face punishment including a potential bar as securities broker. Supposedly, FINRA wanted information about her potential outside business activities.
Did you incur damages through investing with Corrie Box? Reach out to Soreide Law Group at (888) 760-6552 and speak with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group, who has successfully recovered money for hundreds of investors in all 50 states, represents clients on a contingency fee basis and advances all costs. The firm will take the time to fully understand your situation and will carefully explain your legal options. Box and brokerage firms Box worked for deny any and all allegations 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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