Soreide Law Group is investigating possible investor claims against Mayur Dalal (also known as Mayur T. Dalal) (CRD: 1853077, New Hyde Park, New York). Evidently, FINRA sanctioned the securities broker, who worked for Kestra Investment Services LLC. Allegedly, Dalal failed to testify when FINRA investigated the securities broker for possible FINRA rule violations. Here is a brief summary of FINRA’s allegations against Dalal.
Particularly, FINRA issued Case: 2020065664201 on March 9, 2021, sanctioning Mayur Dalal for infractions. Allegedly, Dalal failed to testify when FINRA investigated the securities broker for possible FINRA rule violations. Supposedly, FINRA investigated Kestra Investment Services LLC’s termination of his registration as a securities broker for alleged private securities transactions and outside business activities.
Because of his failure to testify, Dalal was barred as a securities broker, which means he is not permitted by FINRA to work with any FINRA-member firms as a securities broker or in other capacities. That bar became effective on March 9, 2021.
Also, on June 19, 2017, an AXA Advisors LLC client filed a complaint about Mayur Dalal. Namely, the client alleged that Dalal made omissions of material fact. Because of this, the client allegedly sustained damages on variable annuities. Therefore, the client requested $117,000 in compensation from AXA Advisors LLC or Dalal. However, AXA Advisors LLC denied this complaint.
Did you sustain damages by investing with Mayur Dalal? You should contact Soreide Law Group at (888) 760-6552 and talk with a securities attorney about potentially recovering your investment losses. Soreide Law Group, who has successfully recovered money for hundreds of investors across the country, represents clients on a contingency fee basis and advances all costs. Dalal and those firms Dalal worked for deny any and all 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 […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com