Investors reportedly complained about securities broker James Earl Williams [CRD: 1631008, Boca Raton, Florida], based on public information found on FINRA BrokerCheck. Evidently, Williams joined Newbridge Securities Corporation on June 9, 2010, and was previously a registered investment adviser. Keep reading to learn more about the disclosures concerning James Williams.
Specifically, a client of Newbridge Securities Corporation disputed James Williams’s conduct by filing FINRA Arbitration No. 22-01198. Allegedly, Williams was negligent, breached his fiduciary duty, and negligently supervised representatives relating to alternative investment sales. For this reason, Newbridge Securities Corporation opted to settle the dispute on August 28, 2023, by paying compensation totaling $140,000.
Particularly, a Janney Montgomery Scott LLC client filed FINRA Arbitration No. 0904915 about James Williams. Evidently, the client alleged that Williams made unsuitable recommendations. Because of this, the investor allegedly incurred damages connected to mutual funds. For this reason, on October 5, 2010, Janney Montgomery Scott LLC settled this matter by paying the client $45,500 in damages.
Additionally, a client of Janney Montgomery Scott LLC took aim at James Williams’s sales practices, according to a complaint. Allegedly, Williams engaged in unauthorized trading, excessive trading, and unsuitable trading. It appears that Williams caused the client to sustain damages linked to stocks and penny stocks. As a result, Janney Montgomery Scott LLC opted to settle the matter on April 21, 2010, by paying $850,000.
Do you have concerns or questions regarding investments you made with James Williams? You should reach out to Soreide Law Group at (888) 760-6552 or online to speak with a securities lawyer concerning your legal rights and options. For years, For years, Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee arrangement and advances all costs. Williams and brokerage firms Williams worked for deny allegations made against them.
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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