Soreide Law Group is investigating claims on behalf of those who have invested with Robert W. Baird & Co. incorporated (CRD#: 8158, Milwaukee, Wisconsin), which is a FINRA and SEC regulated brokerage firm and investment adviser firm doing business throughout the United states. Particularly, Robert W. Baird disclosed on FINRA BrokerCheck that it was required to pay compensatory damages to approximately thirty customers after FINRA Arbitrators found the firm committed sales practice violations, harming the customers. Also, the firm disclosed instances of additional customer disputes which are ongoing or that settled. For instance, take a look at the customer disputes involving brokers Marci Falci and Michael Collins:
Mark Hudson Falci (CRD#: 3010935, Milwaukee, Wisconsin) has worked at Robert W. Baird since November 3, 1998. Evidently, Marc Falci serviced the account of a customer who disputed his sales practices. That is, the customer brought FINRA Arbitration #17-02998 on November 16, 2017. Allegedly, Marc Falci put the customer in unsuitable investments. Supposedly, those investments did not align with the customer’s investment objectives or risk tolerance. Because of this, Robert W. Baird opted to settle the matter on January 7, 2019 by paying the customer $220,000.
Michael Jason Collins (CRD#: 2915653, Evanston, Illinois) is an ex Robert W. Baird general securities representative. Evidently, Michael Collins worked out of the firm’s Chicago, Illinois offices from October 15, 2010 to October 30, 2017. Apparently, a customer took aim at Michael Collins’ sales practices by filing a complaint dated March 5, 2018. Michael Collins supposedly charged the customer excessive fees for investment transactions including unit investment trust trades. Eventually, Robert W. Baird resolved the customer’s claim on March 5, 2018 by paying the customer $18,538.
Investors who have incurred losses by investing with Robert W. Baird brokers Mark Falci or Michael Collins should contact Soreide Law Group at (888) 760-6552 and speak with experienced counsel about a possible recovery of your investment losses. Soreide Law Group represents clients on a contingency fee basis and advances all costs. The firm has recovered millions of dollars for investors who have suffered losses due to misconduct of brokers and firms.
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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