Investors potentially experienced sales practice violations because of securities broker Henrique Lucena [CRD: 5605196, Coral Gables, Florida], according to disclosures on FINRA BrokerCheck. Evidently, Lucena worked for UBS Financial Services Inc. from August 4, 2010 to March 21, 2017, and Morgan Stanley from March 10, 2017 to July 30, 2020. He joined Laidlaw Company (UK) Ltd. and Laidlaw Wealth Management LLC on July 29, 2020, and August 11, 2020, respectively. Below, you can learn more about Lucena’s investor disclosures.
Notably, on March 19, 2025, a Laidlaw Company (UK) Ltd. client filed FINRA Arbitration No. 25-00565 about Henrique Lucena. Particularly, the client alleged that Lucena made unsuitable recommendations, engaged in unauthorized trading, and was negligent. Because of this, the client allegedly experienced damages relating to over-the-counter equities, stocks, and options. So, the client requested $1,000,000.00 in compensation from Laidlaw or Lucena. Evidently, this arbitration is pending a resolution.
Also, a client of UBS Financial Services Inc. contested Henrique Lucena’s sales practices by filing FINRA Arbitration No. 20-03777. Allegedly, Lucena made misrepresentations and engaged in unauthorized trading. It appears that Lucena caused the client to sustain damages connected to equities. Thus, UBS Financial Services Inc. opted to settle the matter on November 4, 2021, by compensating the client in the amount of $350,000.00.
Do you have questions or concerns about investments you made through Henrique Lucena? You can touch base with Soreide Law Group online or at (888) 760-6552 and consult with a securities lawyer. Soreide Law Group has recouped losses for investors throughout the United States. Also, the firm works on a contingency fee arrangement and advances the costs. Lucena and brokerage firms Lucena worked for deny allegations 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 […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com