Investors potentially experienced losses due to securities broker Mark Gilbert Beesley [CRD: 5362689, Boston, Massachusetts], according to disclosures on FINRA BrokerCheck. Beesley was employed by Wood (Arthur W.) Company Inc. from August 24, 2021, to April 17, 2023, and previously worked for LPL Financial LLC from March 11, 2019, to November 4, 2020. Keep reading to learn more about the disclosures concerning Beesley.
Particularly, on October 17, 2024, FINRA issued Case No. 2023079291701, sanctioning Mark Beesley. FINRA alleged that Beesley refused to appear for testimony requested in connection with an investigation concerning whether he had engaged in undisclosed outside business activities (OBAs). Under FINRA Rule 8210, stockbrokers must comply with requests for information and testimony. However, despite FINRA’s formal request and communication with his lawyer, Beesley refused to appear.
As a result, FINRA found that Beesley violated both FINRA Rule 8210 and Rule 2010. Consequently, FINRA imposed a permanent bar, effectively prohibiting him from working in the securities industry in any capacity.
Are you looking for more information about Mark Beesley? If you incurred losses, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a possible recovery. Soreide Law Group has recovered losses for investors throughout the country, represents clients on a contingency fee basis, and advances all costs. Beesley and the brokerage firms he worked for 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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