Investors potentially experienced sales practice violations by securities broker Ivan Michael West [CRD: 4921015, San Clemente, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. West worked for WestPark Capital Inc. from November 1, 2017, to June 8, 2020, and has been registered with American Trust Investment Services Inc. since June 9, 2020. Investors are encouraged to continue reviewing the information below to discover more about the disclosures involving West.
Evidently, on May 7, 2024, an American Trust Investment Services Inc. client filed FINRA Arbitration No. 24-01000 concerning Ivan West. Primarily, the client alleged that West breached his fiduciary duty, was negligent, and that the firm failed to supervise certain representatives. For this reason, the client allegedly experienced damages relating to TIC 1031 investments. Therefore, the client requested $5,000,000 in compensation from American Trust Investment Services Inc. or West. It appears that this arbitration is ongoing.
Particularly, a client of Omni Brokerage contested West’s sales practices by filing FINRA Arbitration No. 11-01750. Allegedly, West made unsuitable recommendations. It appears that West caused the client to experience damages relating to oil and gas investments. As a result, Omni Brokerage opted to settle the matter on June 26, 2011, by compensating the client in the amount of $7,500.
Do you need clarification on any investment losses relating to Ivan West? Contact Soreide Law Group at (888) 760-6552 or online and speak with a securities lawyer concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for clients located throughout the United States. Also, the firm works on a contingency fee basis and advances all costs. West and brokerage firms West 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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