Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions January 2017.”
(FINRA issued the following complaint, and the issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not represent a decision as to any of the allegations contained in the complaint. Because these complaints are unadjudicated, you may wish to contact the respondents before drawing any conclusions regarding the allegations in the complaint.)
Dawn Bennett (CRD #1567051, Chevy Chase, Maryland)
was named a respondent in a FINRA complaint alleging that she failed to provide FINRA with requested information and documentation in an investigation involving potentially serious violations, such as conversion, fraud and private securities transactions. The complaint alleges that Bennett also failed to appear and provide FINRA with testimony.
(FINRA Case #2015047682402)
According to FINRA’s BrokerCheck, Dawn Bennett has 13 Customer Disputes listed. She has been registered in the securities industry for 28 years and was listed with 5 firms, the most recent appear below:
10/01/2009 - 12/01/2015 WESTERN INTERNATIONAL SECURITIES, INC. - WASHINGTON, DC
02/16/2006 - 10/07/2009 ROYAL ALLIANCE ASSOCIATES, INC. - WASHINGTON, DC
If you were a client of Dawn Bennett formerly with WESTERN INTERNATIONAL SECURITIES, INC. in WASHINGTON, DC, and experienced financial losses, contact Soreide Law Group for a no-cost consultation with a lawyer regarding the possibility of recovering your investment losses at: 888-760-6552.
Soreide Law Group represents clients nationwide before FINRA and we operate on a contingency fee basis.
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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