FINRA reports important information about securities broker Justin Allen Anderson (CRD: 6389728, Austin, Texas). Not only has FINRA sanctioned Anderson for failing to testify when the regulator investigated him, but investors disputed his sales practices. However, Anderson denies the allegations. Read on to learn more about the allegations against Anderson.
Evidently, on November 23, 2022, FINRA issued Case: 2021071179201, sanctioning Justin Anderson for infractions. Specifically, Anderson was barred. Notably, this means that he cannot associate with FINRA-member entities as a securities broker or in other capacities. Particularly, FINRA alleged that Anderson failed to testify when the regulator investigated him for potentially violating FINRA rules at CUSO Financial Services LP. Supposedly, Anderson failed to testify about his involvement in potential client signature discrepancies on account documents.
Also, a client of AXA Advisors LLC contested Justin Anderson’s sales practices, according to a complaint dated March 12, 2020. Allegedly, Anderson made omissions. Supposedly, Anderson possibly caused the client to sustain damages on variable annuities. Therefore, the client requested compensation from AXA Advisors LLC or Anderson in the amount of $6,000. However, the securities firm denied the complaint.
Did you suffer damages because of Justin Anderson? If so, you can contact Soreide Law Group at (888) 760-6552 and speak with an investment lawyer about a potential recovery of your investment losses. Soreide Law Group, who has successfully recovered money for hundreds of investors across the United States, represents clients on a contingency fee basis and advances all costs. Anderson and brokerage firms Anderson 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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