Investors potentially experienced sales practice violations because of securities broker Kevin William McBarron [CRD: 1282026, Carlsbad, California], according to disclosures on FINRA BrokerCheck. McBarron joined LPL Financial LLC on March 17, 2025. Before joining LPL, he worked with Union Capital Company in Carlsbad, California, and Tucson, Arizona, from December 19, 2015 to April 3, 2025. Read the following sections to know more about the allegations concerning Kevin McBarron.
Particularly, on May 7, 2025, a Union Capital Company client brought a complaint about Kevin McBarron. The client alleged that McBarron was negligent and breached his fiduciary duty. Because of this, the client allegedly sustained damages relating to variable annuities. Therefore, the client requested over $5,000.00 in compensation from Union Capital Company or McBarron.
A breach of fiduciary duty occurs when a securities broker or financial advisor fails to act in the best interests of their client. In the context of variable annuity sales, this can involve recommending a product that benefits the broker more than the client, failing to fully disclose fees or risks, or ignoring the client’s investment goals or risk tolerance. Such conduct may lead to significant financial harm for the investor.
Do you have concerns or questions regarding investments involving Kevin McBarron? If so, touch base with Soreide Law Group online or at (888) 760-6552 and talk to a securities lawyer. For years, Soreide Law Group has recouped losses for investors throughout the country. Also, the firm takes investor cases on a contingency fee basis and advances the costs. McBarron and brokerage firms McBarron worked for deny 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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