Investors potentially incurred losses because of securities broker Michael William Jarvis [CRD: 2160274, McKinney, Texas], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jarvis worked for Cetera Wealth Services LLC beginning on November 1, 2017, and later became registered with Cetera Investment Advisers LLC on June 29, 2023, after previously being associated with Cetera Advisor Networks LLC from September 7, 2017, to June 29, 2023. Investors should review the information below to discover more about the disclosures involving Jarvis.
Evidently, on October 17, 2025, a Cetera Wealth Services LLC client filed FINRA Arbitration No. 25-02222 concerning Michael Jarvis. Primarily, the client alleged that Jarvis charged excessive fees. For this reason, the client allegedly experienced damages. Therefore, the client requested $800,000 in compensation from Cetera Wealth Services LLC or Jarvis. It appears that this arbitration awaits a resolution.
Also, a client of AXA Advisors LLC contested Michael Jarvis’s sales practices, according to a complaint. Allegedly, Jarvis engaged in unauthorized trading. It appears that Jarvis caused the client to experience damages linked to mutual funds. As a result, AXA Advisors LLC opted to settle the matter on June 24, 2002, by compensating the client in the amount of $132,860.
Did you suffer any investment-related losses because of Michael Jarvis? You can contact Soreide Law Group at (888) 760-6552 or online and speak with a securities attorney regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm works on a contingency fee basis and advances all costs. Jarvis and brokerage firms Jarvis worked for deny 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 […]
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