Investors might have sustained losses because of securities broker Huanwei Huang (also known as Andy Huang) [CRD: 3268328, Brooklyn, New York], according to disclosures on FINRA BrokerCheck. Notably, Huang joined Glendale Securities Inc. on November 2, 2005. Keep reading to find out more about the disclosures concerning Huanwei Huang.
Evidently, on September 21, 2024, a Glendale Securities client filed Civil Action No. 523945/2024 about Huanwei Huang. The client alleged that Huang committed conversion, misrepresentation, breach of fiduciary duty, and negligence. For this reason, the client allegedly experienced damages connected to stocks. Therefore, the client requested $580,000 in compensation from Glendale Securities or Huang. This civil suit is pending a resolution.
Specifically, on August 26, 2021, Massachusetts regulators sanctioned Huanwei Huang. Specifically, Huang was placed under heightened supervision for five years. Massachusetts alleged that Huang used a messaging app containing private client information without proper authorization, violating industry regulations.
This followed an earlier FINRA case in which Huang was fined $5,000 and suspended for 10 business days. Mainly, FINRA found that Huang used unapproved messaging methods and disclosed client information without consent, violating FINRA rules.
Do you have questions or concerns about investments you made through Huanwei Huang? If so, touch base with Soreide Law Group online or at (888) 760-6552 and talk to a securities lawyer. Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee basis and advances the costs. Huang and brokerage firms Huang 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 […]
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