The Financial Industry Regulatory Authority (FINRA) contains current information on disputes involving securities broker Gregory Cline Collier Sr. (Gregory Cline) (CRD#: 1408843, Mount Dora, Florida). Evidently, the securities broker worked for Raymond James Financial Services (April 2005 – present) as securities broker, and Raymond James Financial Services Advisors Inc. (April 2009 – present) as financial advisor. BrokerCheck shows that two Raymond James investors filed disputes about Collier. Here’s more on these disclosures.
Specifically, a client of Raymond James Financial Services disputed Collier’s sales practices through bringing a FINRA Arbitration Claim in December 2019. Mainly, the client alleges that Collier engaged in unauthorized trading between February 2018 and December 2018. Because of this, it appears that the client experienced damages. As a result, Raymond James Financial Services opted to settle this matter in December 2020 through agreeing to pay the client $200,000.
It appears that a second Raymond James Financial Services client came forward with a dispute about Collier’s sales practices. In this July 2019 complaint, the client first contends that Collier poorly managed their portfolio. Secondly, they allege unsuitable investments, including mutual funds. However, Raymond James Financial Services denied the complaint in October 2019.
Did securities broker Gregory Collier cause you to suffer losses? If so, call Soreide Law Group at (888) 760-6552 and speak with a skilled securities lawyer regarding a possible recovery of your losses. Soreide Law Group represents clients on a contingency fee basis and advances all costs. The firm has helped many United States investors recover compensation when they have incurred losses by their financial advisors and securities brokers. Please note that Collier denies all allegations by Raymond James clients.
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