Investors might have been negatively affected by securities broker Ethan Wrenn [CRD: 7889172, Chesterland, Ohio], according to BrokerCheck disclosures. Wrenn worked for Equitable Advisors LLC from April 2, 2024, to May 17, 2024, Key Investment Services LLC from July 12, 2024, to August 13, 2025, and Citizens Securities Inc. from July 31, 2025, to April 30, 2026. Keep reading to learn more about disclosures involving this securities broker.
Particularly, on April 2, 2026, Citizens Securities Inc. disaffiliated with Wrenn. Mainly, Citizens Securities Inc. alleged that Wrenn did not follow firm requirements relating to outside business activities, maintained inadequate suitability records, and engaged in conduct that allegedly did not meet firm standards.
Outside business activities occur when a securities broker or financial advisor engages in business ventures, employment, or compensation arrangements away from their firm. Brokerage firms generally require these activities to be disclosed and reviewed. Outside interests can create conflicts of interest and raise supervision concerns. It could also potentially expose investors to risks that may fall outside the firm's oversight.
Suitability documentation consists of records supporting why an investment recommendation may have been appropriate for a particular investor's financial situation, objectives, investment experience, and risk tolerance. When suitability documentation is deficient, questions may arise regarding whether recommendations were properly evaluated, documented, and reviewed according to firm policies and industry standards.
Are you worried about investments you made through Ethan Wrenn? You should contact Soreide Law Group at (888) 760-6552 or online. Talk with a securities attorney regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for many clients throughout the country. Also, our securities lawyers handle cases on a contingency fee arrangement and advance all costs. Wrenn and brokerage firms Wrenn 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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