Soreide Law Group is investigating potential claims against John Thomas Financial. John Thomas Financial raised approximately $5,000,000 as the lead underwriter for America West. Certain investors were advised that within approximately six months the private placement shares would convert to publicly traded stock and all the investors would realize short-term profits. Instead, investors have suffered a complete loss in the investment.
Unbeknownst to these investors, in October 2008, John Thomas Financial acquired 15,000,000 warrants, and 5,000,000 options on America West. John Thomas Financial and certain officers of the company are being investigated by FINRA regarding the firm’s dealings in America West.
If you have suffered in the America West private placement, you may have a potential claim for recovery. Call Soreide Law Group for a free consultation with an attorney: 888-760-6552
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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