The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Robert Mandau (also known as Bob Mandau) (CRD: 3247517, Willoughby Hills, OH). Not only has FINRA sanctioned Mandau for outside business activities, but investors disputed the sales practices of the securities broker. However, Mandau denies the allegations. Read on to learn more about the allegations against Mandau.
Evidently, on January 13, 2021, FINRA issued Case: 2020066245201 sanctioning Robert Mandau for infractions. Specifically, Mandau received a $5,000 fine and suspension as a securities broker between January 2021 and April 2021. Namely, FINRA alleged that Mandau engaged in an undisclosed outside business activity involving tax prep services. Supposedly, Mandau failed to inform Thrivent Investment Management about this and made inaccurate statements to the firm about his activities in both an annual certification and when the firm investigated him.
Did you sustain damages by investing with Robert Mandau? If so, feel free to call Soreide Law Group at (888) 760-6552 and speak 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 investors like you on a contingency fee basis and advances all costs. Mandau and brokerage firms Mandau 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 […]
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