Investors apparently complained about securities broker Darrell Dominic Delphen [CRD: 1603277, Dallas, Texas], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Delphen worked for Independent Financial Group LLC from May 18, 2012, to the present as a securities broker and from January 24, 2018, to the present as a financial advisor, and previously worked for Cornerstone Financial Services Inc. from May 19, 2009, to December 31, 2023. Investors should review the information below to discover more about the disclosures involving Delphen.
Notably, an Independent Financial Group LLC client filed FINRA Arbitration No. 24-01137 about Delphen. Primarily, the client alleged that Delphen made unsuitable recommendations. For this reason, the client allegedly sustained damages associated with non-traded real estate investment trusts. Therefore, on June 13, 2025, Independent Financial Group LLC settled this matter by paying the client $14,000 in damages.
Also, a client of InterSecurities Inc. disputed Delphen’s sales practices, according to a complaint dated June 1, 2004. Allegedly, Delphen made misrepresentations and made unsuitable recommendations. It appears that Delphen allegedly caused the client to sustain damages linked to variable annuities. Consequently, the client sought compensation from InterSecurities Inc. or Delphen in the amount of $40,000 in this matter. However, the firm denied this complaint.
Particularly, on June 26, 2001, an InterSecurities Inc. client filed a complaint about Delphen. Mainly, the client alleged that Delphen failed to follow instructions. Because of this, the client allegedly incurred damages associated with mutual funds. As a result, the client requested $22,030 in compensation from InterSecurities Inc. or Delphen. However, the firm denied this complaint.
Are you concerned about investments you made through Darrell Delphen? You can contact Soreide Law Group online or at (888) 760-6552 and speak with a securities attorney regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, our securities attorneys represent investors on a contingency fee arrangement and advance all costs. Delphen and brokerage firms Delphen 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 […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com