One or more investors possibly experienced losses because of securities broker James Eugene Holmes III [CRD: 2174697, Winston Salem, North Carolina], based on disclosures found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Holmes worked for Wells Fargo Clearing Services LLC from August 30, 2019, to October 10, 2024, and for Stephens from March 11, 2011, to September 5, 2019. Read on to discover more about the disclosures involving Holmes.
Notably, on April 11, 2025, a Wells Fargo Clearing Services LLC client filed FINRA Arbitration No. 25-00745 about James Holmes. Primarily, the client alleged that Holmes made unsuitable recommendations, given the client’s needs. Because of this, the client allegedly sustained damages. For this reason, the client requested $500,000.00 in compensation from Wells Fargo Clearing Services LLC or Holmes. This arbitration is pending a resolution.
Evidently, Wells Fargo Clearing Services LLC disaffiliated with Holmes on September 17, 2024. Allegedly, Holmes was discharged for unauthorized trading in client accounts.
Are you concerned regarding investments you made with James Holmes? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk to a securities attorney about a possible recovery of your investment losses. For years, Soreide Law Group has recovered losses for clients throughout the United States. The firm also works on a contingency fee basis and advances all costs. Holmes and brokerage firms Holmes worked for deny all allegations referenced in public disclosures.
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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