Investors may have incurred losses because of securities broker Donna Patrice Bromfield-Day [CRD: 5480459, Manor, Texas], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Donna Bromfield-Day has worked with Wells Fargo Clearing Services LLC and Wells Fargo Advisors since December 1, 2014, operating out of offices in Fort Worth, Texas, and Austin, Texas. Keep reading to understand more about the client disputes involving Bromfield-Day, including the nature of the allegations and investments at issue.
Evidently, a client of Wells Fargo Clearing Services LLC contested Donna Bromfield-Day’s sales practices by filing FINRA Arbitration No. 25-00174 on February 26, 2025. Allegedly, Bromfield-Day was a member of a team that engaged in unsuitable trading and unauthorized trading from 2021 through 2022. Allegedly, Bromfield-Day caused the client to sustain damages. Therefore, the client seeks compensation from Wells Fargo or Bromfield-Day in the amount of approximately $965,252 in this ongoing matter.
Unauthorized trading refers to a situation where a securities broker executes trades in a client’s account without first getting the client’s consent or without having proper discretionary authority. In many cases, unauthorized trading occurs when a broker believes an investment will benefit the account but fails to consult the client beforehand, potentially violating both the client’s rights and industry rules. These actions can result in financial harm and often lead to formal complaints or arbitration proceedings.
Are you concerned regarding investments you made with Donna Bromfield-Day? Reach out to Soreide Law Group online or at (888) 760-6552 and speak to a securities attorney concerning a potential recovery of your losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm takes cases on a contingency fee basis and advances all costs. Bromfield-Day and the firms Bromfield-Day worked for deny 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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