Investors apparently complained about securities broker Harry Allan Horn [CRD: 1031140, Lutherville, Maryland], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Harry Horn worked for Lincoln Financial Advisors Corporation from June 4, 1982, to April 22, 2022. Below, you can learn more about the disclosures involving Harry Horn, including serious allegations concerning his conduct as a securities broker.
Notably, on August 30, 2024, a Lincoln Financial Advisors Corporation client filed FINRA Arbitration No. 24-01855 about Harry Horn. The client alleged that Horn recommended an unsuitable oil and gas investment. For this reason, the client allegedly sustained damages. Therefore, the client requested $70,000 in compensation from Lincoln Financial Advisors Corporation or Horn. It appears that this arbitration is ongoing.
An allegation of unsuitable oil and gas investments generally refers to claims that a securities broker or financial advisor recommended speculative energy-related products that were not appropriate for the client’s financial situation, investment objectives, or risk tolerance. These types of investments often carry high risk and may be illiquid or volatile, making them unsuitable for many retail investors. Brokers are required to tailor their recommendations based on the individual profiles of their clients; failing to do so can result in significant financial harm and form the basis for regulatory or legal action.
Do you need clarification on any investment losses relating to Harry Horn? You can get in touch with Soreide Law Group online or at (888) 760-6552 and speak to a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has helped recover losses for investors throughout the country. Also, the firm works on a contingency fee arrangement and advances all costs. Horn and brokerage firms Horn 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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