Investors might have sustained losses due to securities broker Frank John Ward [CRD: 1621434, Omaha, Nebraska], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Ward joined Raymond James Financial Services Inc. on June 17, 2015, and Raymond James Financial Services Advisors Inc. on June 19, 2015. Read the following sections to learn more about the allegations made against Ward.
Evidently, on March 28, 2025, a Raymond James Financial Services Inc. client filed a complaint about Frank Ward. The client alleged that Ward gave unsuitable advice about stocks and provided false information, which led to a tax implication. So, the client requested $15,562.50 in compensation from Raymond James Financial Services Inc. or Ward. However, the firm denied this complaint.
Ward also faced two earlier client disputes involving other employers. One, received on July 21, 1998, involved allegations of unauthorized, excessive, and unsuitable trading in municipal bonds. That complaint was denied. Another client dispute, received on February 5, 1995, alleged misrepresentation involving investments in mortgage-related partnerships. The firm settled for $14,260. Ward denied any wrongdoing and stated the client had been informed of investment risks.
Do you have questions or concerns about investments involving Frank Ward? You can touch base with Soreide Law Group at (888) 760-6552 or online and consult with a securities attorney. Soreide Law Group helps recover losses for investors throughout the United States. Also, the firm works on a contingency fee basis and advances all costs. Ward and the brokerage firms Ward worked for deny accusations 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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