Investors possibly experienced sales practice violations by securities broker Paul Michael Weinberger [CRD: 2757427, Clearwater, Florida], based on publicly available information on FINRA BrokerCheck. Evidently, Weinberger has worked for Cetera Financial Specialists LLC since February 5, 2021, and for Cetera Investment Advisers LLC since February 26, 2021. Previously, he was registered with National Asset Management Inc. and National Securities Corporation in Tampa, Florida. Continue reading for details about the disclosures concerning Weinberger.
Additionally, a client filed a complaint about Paul Weinberger. Primarily, the client alleged that Weinberger made unsuitable recommendations by advising a Roth conversion that created unexpected tax consequences. For this reason, the client allegedly incurred damages connected to variable annuities. As a result, on April 22, 2024, Cetera Financial Specialists LLC settled this matter by paying the client $31,170 in damages.
Evidently, a client of Prime Capital Services Inc. contested Paul Weinberger’s sales practices, according to a complaint. Allegedly, Weinberger made misrepresentations of material fact relating to a variable annuity rider purchased in January 2000. It appears that Weinberger caused the client to sustain damages. Consequently, Prime Capital Services Inc. opted to settle the matter on October 7, 2010, by compensating the client in the amount of $12,520.27.
Specifically, a client filed a complaint about Paul Weinberger. Mainly, the client alleged that Weinberger made unsuitable recommendations concerning variable annuities purchased in February 2000. Because of this, the client allegedly sustained damages. Therefore, on May 14, 2010, Prime Capital Services Inc. settled this matter by paying the client $4,000 in damages.
Did you suffer any investment-related losses because of Paul Weinberger? You should contact Soreide Law Group at (888) 760-6552 or online and consult with a securities lawyer about a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee arrangement and advances all costs. Weinberger and brokerage firms Weinberger worked for deny accusations 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