Soreide Law Group is looking into possible investor claims against securities broker Joan Ella Burgio (also known as Joanie Burgio) (CRD: 5397635, Chevy Chase, Maryland). Particularly, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Allegedly, Burgio engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against Burgio.
Particularly, FINRA issued Case: 2021072641301 on November 15, 2022, sanctioning Joan Burgio for infractions. Allegedly, Burgio engaged in an undisclosed outside business activity involving a private investment firm. Therefore, Burgio agreed to pay a $3,500 fine and serve a 60-day suspension as securities broker.
Did you suffer damages due to the actions of Joan Burgio? If you have, then contact Soreide Law Group at (888) 760-6552 and speak with an investment lawyer about a possible recovery of your investment losses. Soreide Law Group, who has effectively recovered money for hundreds of investors across the United States, represents clients on a contingency fee basis and advances all costs. Burgio and brokerage firms Burgio worked for deny any and all allegations 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 […]
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