Soreide Law Group is investigating potential claims on behalf of individuals who have encountered losses through James Bernthal [CRD: 4871243]. Evidently, he joined Aegis Capital Corp in New York, New York in 2020. Bernthal was also employed with Dawson James Securities Inc. in the same city from 2016 to 2020. Investors are advised to carefully review the disclosures that follow, pertaining to James Bernthal's conduct as a securities broker.
A client of Aegis Capital Corp initiated FINRA Arbitration No. 23-00633 on March 17, 2023, bringing forth allegations against James Bernthal. The client's allegations included unauthorized trading as well as misrepresentations and omissions. These actions reportedly led to substantial damages involving stocks. The client is seeking $771,631 in compensatory relief from Aegis Capital Corp or Bernthal in this ongoing matter.
A client of Dawson James Securities Inc filed FINRA Arbitration No. 17-01707 regarding James Bernthal. The allegations revolved around unsuitable recommendations and failure to execute an order, resulting in damages relating to stocks and municipal bonds. Consequently, on May 25, 2018, Dawson James Securities Inc opted for settlement, paying the client $295,000.
Also, an Obsidian Financial Group client disputed James Bernthal's sales practices, filing FINRA Arbitration No. 17-00141. The client accused Bernthal of providing unsuitable recommendations and engaging in excessive trading, which led to losses in stocks. To address this, Obsidian Financial Group settled the matter by paying the client $11,750 on February 28, 2019.
A client of Obsidian Financial Group LLC filed FINRA Arbitration No. 15-01467, targeting James Bernthal for engaging in unsuitable securities transactions, churning, and breach of contract from 2010 to 2012. The client, who suffered damages involving stocks, was compensated $30,000 by Obsidian Financial Group LLC as part of a settlement dated October 26, 2016.
A client of Obsidian Financial Group LLC raised claims against James Bernthal, as detailed in FINRA Arbitration No. 13-00366. The client's allegations included omissions, misrepresentations, and unsuitable recommendations involving over-the-counter equities. Obsidian Financial Group LLC resolved the matter by settling for $50,000 on October 31, 2014.
If you've incurred losses due to the actions of James Bernthal, consult with a securities lawyer. Reach out to Soreide Law Group online or via phone at (888) 760-6552 to discuss the potential recovery of your investment losses. Soreide Law Group operates on a contingency fee basis, ensuring all costs are advanced. Bernthal and his employers deny allegations of improper sales practices.
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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