Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Leslie Ann Lauer [CRD: 2941432, Columbus, Ohio]. Evidently, Lauer worked for UBS Financial Services Inc. from May 2, 2006, to August 29, 2023, before joining RBC Capital Markets LLC in Atlanta, Georgia, on August 18, 2023. Keep reading to learn more about the client disputes Lauer has faced during her time in the securities industry.
On February 22, 2024, a client of UBS Financial Services Inc. made a complaint about Leslie Lauer, alleging that Lauer made misleading or false statements about hedge funds and failed to disclose fees. The client claimed these actions were not in the trustee's best interest and asked for compensatory damages. However, UBS Financial Services denied this complaint, and no compensation was awarded.
On January 5, 2024, a client of UBS Financial Services Inc. initiated FINRA Arbitration No. 23-03550, accusing Leslie Lauer of making misrepresentations and providing unsuitable recommendations. The client asked for $500,000 to $1,000,000 in damages. This matter is pending further resolution.
Contact Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney for more information. Lauer and the firms she worked for deny any allegations of sales practice violations. Soreide Law Group has experience representing investors throughout the country. The firm handles cases on a contingency basis.
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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