Investors potentially experienced losses due to securities broker Jerry Dale Kiefer [CRD: 2271043, Edmond, Oklahoma], according to disclosures on FINRA BrokerCheck. Apparently, Kiefer has been employed by Equitable Advisors since June 2, 2006. Keep reading to learn more about the disclosures involving this securities broker.
Evidently, an Equitable Advisors LLC client filed FINRA Arbitration No. 24-00604 about Jerry Kiefer. The client alleged that Kiefer made unsuitable recommendations. Because of this, the client allegedly sustained damages on real estate securities. Consequently, on January 10, 2025, Equitable Advisors LLC settled this matter by paying the client $7,500 in damages.
Specifically, a client of Equitable Advisors LLC contested Jerry Kiefer’s sales practices, according to a complaint dated January 3, 2024. Allegedly, Kiefer made misrepresentations. Supposedly Kiefer caused the client to sustain damages. Therefore, the client sought damages from Equitable Advisors LLC or Kiefer in this matter. However, the firm denied the complaint.
Also, an AXA Advisors client filed Civil Action No. CJ-2011-6424 about Jerry Kiefer. The client alleged that Kiefer misrepresented the terms of the life insurance product, specifically regarding the policy’s flexibility and the client’s ability to reduce the death benefit or monthly premium. Because of this, the client allegedly sustained damages. As a result, on March 31, 2014, AXA Advisors settled this matter by paying the client $165,000 in damages.
Seeking more information about Jerry Kiefer? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities lawyer. Soreide Law Group has recovered losses for investors throughout the country, works on a contingency fee basis, and advances all costs. Kiefer and brokerage firms Kiefer worked for deny accusations 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 […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com