Investment loss recovery counsel at Soreide Law Group provides you with new information on securities broker John Daniel Quinn (CRD#: 2576416, Beverly Hills, California), who discloses information about a client dispute and regulatory enforcement action on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Quinn was a securities broker at Valic Financial Advisors Inc. (2019 to 2021). He also worked for LPL Financial LLC (2019) and Ameriprise Financial Services (2012 to 2019). You’ll want to take a closer look at the following information as reported on BrokerCheck. However, keep in mind that the broker denies committing unreasonable sales practices.
The regulator sanctioned John Quinn on December 16, 2021. This includes a fine of $10,000 and a suspension of 18 months (December 20, 2021, to July 19, 2023). FINRA disciplined Quinn for allegedly violating FINRA Rule 3270 (outside business activities from July 2019 to January 2020).
Particularly, a client objected to John Quinn’s actions as a securities broker while working for Ameriprise Financial Services, as the client brought an investment dispute on April 21, 2021. Supposedly, the client realized damages because of an unsuitable variable annuity income rider. For this reason, Ameriprise Financial Services acquiesced to resolving this matter, with no admission of liability, by paying the client $232,400 in damages on August 18, 2021.
Evidently, the firm terminated John Quinn as a securities broker on January 26, 2021. FINRA contends that the securities broker did not comply with a FINRA request during an investigation.
Did you suffer losses because of securities broker John Quinn? You can touch base with Soreide Law Group at (888) 760-6552 to chat with a helpful securities lawyer about possibly recovering your losses. Soreide Law Group represents investor clients on a contingency fee basis and advances all costs. The firm has recovered substantial compensation for hundreds of United States investors that have incurred losses from securities brokers and financial advisors. Please note that Quinn denies the allegations of inappropriate sales practices.
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