Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Gary Kendall Liska [CRD: 2512188, Los Angeles, California], given the disclosures on FINRA BrokerCheck. Evidently, Liska joined Signature Estate Investment Advisors LLC on May 12, 1997, and Signature Estate Securities LLC on August 16, 2023. Continue reading to learn more about Liska's disclosures.
Specifically, on May 11, 2022, a Royal Alliance Associates Inc. client filed a complaint about Gary Liska. Supposedly, Liska mismanaged the client’s account. Because of this, the client allegedly sustained damages on stocks, corporate bonds, and mutual funds. For this reason, the client requested $100,000 in compensation from Royal Alliance Associates Inc. or Liska.
Particularly, a client of Royal Alliance Associates Inc. contested Gary Liska's sales practices, according to a complaint dated December 20, 2021. Allegedly, Liska made misrepresentations and unsuitable recommendations of an options strategy and provided poor advice regarding the overall investment strategy. It appears that Liska caused the client to sustain damages. Consequently, the client sought compensatory relief from Royal Alliance Associates Inc. or Liska in the amount of $1,000,000 in this matter.
Also, on July 21, 2020, a Royal Alliance Associates Inc. client filed a complaint about Gary Liska. Supposedly, Liska misrepresented an inherited annuity and made unsuitable sub-account choices. Because of this, the investor apparently incurred damages on variable annuities. Therefore, the client requested $33,000 in compensation from Royal Alliance Associates Inc. or Liska. However, the firm denied the complaint.
Did you experience losses because of Gary Liska? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk to a securities lawyer about a possible recovery of your investment losses. Soreide Law Group has assisted hundreds of clients throughout the country, works on a contingency fee basis, and advances all costs. Liska and brokerage firms he 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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