Investors potentially experienced sales practice violations because of securities broker Paul Andrew Valdivia [CRD: 6045337, Greenville, South Carolina], according to disclosures on FINRA BrokerCheck. Evidently, Valdivia joined Fidelity Brokerage Services LLC on June 5, 2012, and works as a financial advisor at Strategic Advisers LLC as of March 31, 2025. His previous employment includes Fidelity Personal and Workplace Advisors from July 13, 2018 to March 31, 2025, and Strategic Advisers LLC in Boca Raton, Florida, from February 6, 2013 to July 13, 2018. Keep reading to find out more about Paul Valdivia’s disclosure involving investor allegations.
Particularly, on March 17, 2025, a Fidelity Brokerage Services LLC client filed FINRA Arbitration No. 25-00468 about Paul Valdivia. The client alleged that Valdivia made unsuitable recommendations connected to a managed account. For this reason, the client allegedly sustained damages. Thus, the client requested $95,398.72 in compensation from Fidelity or Valdivia. Evidently, this arbitration is pending a resolution.
An unsuitable recommendation occurs when a securities broker or financial adviser suggests an investment that is inconsistent with a client’s investment profile. This profile includes the client's age, financial situation, risk tolerance, and investment objectives. Brokers must only recommend products that are appropriate for the investor’s unique needs; failure to do so may result in financial harm and is considered a sales practice violation.
Do you have questions or concerns about investments you made through Paul Valdivia? You can touch base with Soreide Law Group online or at (888) 760-6552 and consult with a securities lawyer. Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm takes investor cases on a contingency fee basis and advances the costs. Valdivia and brokerage firms Valdivia 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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