Fort Lauderdale-based Soreide Law Group, (888) 760-6552, obtained the following summary of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, September, 2014.”
Edward James Wendol (CRD #2392007, Spring Hill, Florida)
was barred by FINRA for alleged failure to comply with FINRA’s request for documents and information, and failure to appear and provide testimony.
FINRA's findings stated that Wendol was involved in an investigation into undisclosed outside business and undisclosed private securities transactions from which FINRA had requested documents and information. Wendol refused to appear before FINRA or provide information.
(FINRA Case #2013038557301)
Edward James Wendol was previously registered with the following securities firm(s):
Registered Dates Firm
09/2013 - 07/2014 WTS PROPRIETARY TRADING GROUP LLC (CRD# 148117) - NEW YORK, NY
12/2011 - 08/2012 STERLING ENTERPRISES GROUP, INC. (CRD# 44915) - ST. PETERSBURG, FL
11/2008 - 10/2009 AMERICAN CLASSIC SECURITIES, INC. (CRD# 25399) - PONTE VEDRA, FL
06/2005 - 11/2006 PEAK SECURITIES CORPORATION (CRD# 107907) - LARGO, FL
11/2003 - 12/2003 BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. (CRD# 13609) - MARION, IA
06/2002 - 04/2003 QUICK & REILLY, INC. (CRD# 11217) - NEW YORK, NY
04/2001 - 06/2002 J.P.R. CAPITAL CORP. (CRD# 38056) - SYOSSET, NY
FINRA expelled the firm in 08/2007
10/1995 - 04/2001 GBI CAPITAL PARTNERS INC. (CRD# 14623) - BETHPAGE, NY
10/1993 - 10/1995 LEW LIEBERBAUM & CO., INC. (CRD# 17341) - GARDEN CITY, NY
09/1993 - 10/1993 SOUTH RICHMOND SECURITIES, INC. (CRD# 14913)
FINRA's website summary ends here.
Call Ft. Lauderdale-based Soreide Law Group for your free consultation on how to potentially recover your investment losses at 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 […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com