Investors potentially experienced losses due to securities broker Kevin Michael Barth [CRD: 6624302, Greensboro, North Carolina], according to publicly available information on FINRA BrokerCheck. Evidently, Kevin Barth has been registered with Edward Jones in Greensboro, North Carolina, since May 3, 2016, in the capacity of a broker, and since October 21, 2016, as an investment adviser. Keep reading to find out more about the disclosures involving Barth and the nature of the allegations against him.
Particularly, on February 13, 2025, an Edward Jones client filed a complaint about Kevin Barth. The client alleged that Barth engaged in unauthorized trading, which allegedly resulted in unexpected tax consequences. Because of this, the client allegedly sustained damages on stocks. Therefore, the client requested compensation from Edward Jones or Barth. While the client did not specify a dollar amount, the firm reported that the damage from the alleged conduct exceeds $5,000, triggering disclosure requirements. As of now, this matter remains pending and unresolved.
Unauthorized trading refers to the act of a broker making trades in a client’s account without obtaining prior approval. Brokers are generally required to have either discretionary authority or explicit client consent for each transaction. When a broker executes trades without the necessary permission, they can expose the investor to unwanted financial risks, including tax liabilities or market losses. Such actions can be seen as a breach of trust and may violate both firm policies and industry regulations.
Did you experience losses because of Kevin Barth? You can get in touch with Soreide Law Group online or at (888) 760-6552. Talk to a securities lawyer about a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors across the US, represents clients through a contingency fee basis, and advances all costs. Barth and brokerage firm Edward Jones 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 […]
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