FINRA BrokerCheck shows that PFS Investments Inc. clients disputed the sales practices of Jeremiah Roman [CRD: 6321876, Coral Springs, Florida]. Evidently, Roman worked for PFS Investments Inc. from June 27, 2014, to October 27, 2021. Below, investors can find more information about the disclosures concerning Jeremiah Roman's conduct.
A client of PFS Investments Inc. filed FINRA Arbitration No. 21-01926 on January 30, 2023. Supposedly, the securities broker committed a breach of fiduciary duty and engaged in unsuitable trading, particularly with bonds. The complaint resulted in a $425,000 settlement without Roman's individual contribution.
A client of PFS Investments Inc. filed FINRA Arbitration No. 22-01459 regarding Roman, claiming that Roman solicited funds for an undisclosed external business. Supposedly, the client experienced a loss of $150,000 due to Roman's actions. Subsequently, on February 28, 2023, PFS Investments Inc. opted to settle the matter for $45,000.
Jeremiah Roman's association with PFS Investments Inc. ended on October 27, 2021, following allegations of his involvement in undisclosed outside business activities and private securities transactions.
If you've incurred losses due to Jeremiah Roman's actions, consider contacting Soreide Law Group. You can reach them online or at (888) 760-6552 to discuss the possibility of recovering your investment losses. Soreide Law Group is committed to assisting investors across the United States on a contingency fee basis and will advance all necessary expenses. Roman and his past employers deny any alleged 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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