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 currently investigating VSR Financial Services. In May, 2013, VSR Financial Services was sanctioned and fined $550,000 by FINRA for supervisory failures in connection with the sale of non-conventional or alternative investments.
The following is a list of various alternative or non-conventional investments suggested to our clients as recommendations of VSR or other brokerages. Many of these products have a certain risk factor that was outside of the realm of the investment strategies of these clients.
Alliance Petroleum Corp 2002 B
Alliance Petroleum Corp 2004 A
Alliance Petroleum Corp 2005 A
Alliance Petroleum Corp 2005 B
Alliance Petroleum Corp 2006 A
Alliance Petroleum Corp 2006 B
Alliance Petroleum Corp 2007 A
AmREIT Monthly Income & Gr. Fund IV, LP
ArciTerra National REIT
ArciTerra Note Fund II, LLC
ArciTerra Real Estate Investment trust, Inc.
ArciTerra Whitefish Opportunity Fund, LLC
Atlas America Public #12 - 2003 Ltd.
Atlas America Series #25 - 2004A Ltd.
Bradford Drilling Associates 20, LP
Bradford Drilling Associates 23, LP
Bradford Drilling Associates 25, LP
Cypress Equipment Fund 15
Cypress Equipment Fund 16
Cypress Equipment Fund IX
DBSI 2006 Secured Notes Corporation
DBSI 2008 Notes Corp 9.5%
Evergreen Realty REIT, Inc.
Leaf Commercial Finance
MacFarlan Diversified Income
MacKenzie Patterson Income Fund 22,LLC
MacKenzie Patterson Senior Note 1
MacKenzie Patterson Senior Note 2
MacKenzie Patterson special Fund 10, LLC
Mewbourne Energy Partners 07-A, LP
Mewbourne Energy Partners 08-A, LP
Odyssey Diversified Notes IX
Odyssey Properties III, Inc.
UDF Land Opportunity Fund, LP
United Development Funding III
Waveland Vanguard Partners, LLC
Cole Credit Property Trust II, Ltd.
Cole Senior Notes III 8.25%
Gentry Mills Capital (GMI -ES 14,LP)
NNN Triple Net Properties
G REIT, Inc.
Odyssey Diversified Notes VII
Odyssey Residential Realty II, LLC 9% Note
Cole Credit Property II
KBS REIT II
United Development, LP
ArciTerra Note III
If you have sustained investment losses due to your stock broker or financial advisor’s recommendations in alternative or non-conventional investments, call for your free consultation on how to potentially recover those losses. To speak with an attorney call Soreide Law Group: 888-760-6552.
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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