Soreide Law Group, based in Pompano Beach, Florida, obtained the following information regading a Boca Raton, Florida broker from FINRA’s website under, “Disciplinary and Other FINRA Actions May 2018.”
Michael Bruce Ralby (CRD #1301072, Boca Raton, Florida)
was barred by FINRA in all capacities for allegedly refusing to appear for a FINRA on-the-record testimony in connection with its investigation into whether he had accepted loans from a client.
(FINRA Case #2017053976201)
FINRA has barred former Boca Raton Morgan Stanley broker, Michael Bruce Ralby, from acting as a broker or otherwise associating with a broker-dealer firm.
According to FINRA’s BrokerCheck, Michael Bruce Ralby has 8 Disclosures on his report, 6 were ‘Customer Disputes.’
Michael Bruce Ralby was in the securities industry for 33 years and was listed with 9 firms, the two most recent are listed below:
07/01/2013 - 01/11/2018 MORGAN STANLEY - BOCA RATON, FL
03/20/2009 - 07/15/2013 OOPPENHEIMER & CO INC - BOCA RATON, FL
If you experienced losses due to the actions or recommendations of Michael Bruce Ralby, former broker with Morgan Stanley of Boca Raton, Florida, contact Soreide Law Group, conveniently based in Pompano Beach, Florida, and speak to an experienced securities lawyer regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents our clients nationally before FINRA. We operate on a contingency fee basis, no fee if no recovery.
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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