Soreide Law Group is looking into potential claims on behalf of individuals who invested through Robert Emmett Marquez, also known as Bob Marquez [CRD: 2266269, Smithtown, New York], given FINRA’s recent sanctions against the broker. Marquez was previously registered with Investment Network Inc. from January 4, 2017, to November 6, 2023. Here’s more about FINRA’s regulatory action against Marquez.
On November 6, 2023, FINRA issued Letter of Acceptance, Waiver, and Consent No. 2022074096803, sanctioning Robert Marquez for violations related to his refusal to provide on-the-record testimony. Specifically, FINRA's investigation focused on Marquez's involvement in the sales of pre-IPO private placement offerings. As a result of his refusal to testify, Marquez faced a permanent bar from associating with any FINRA member firm in any capacity.
Investment Network Inc., based in Smithtown, New York, terminated its association with Robert Marquez on November 6, 2023. The discharge followed Marquez's submission of a Letter of Acceptance, Waiver, and Consent (AWC) to FINRA, in which he agreed to a permanent bar from the industry. The allegations centered around Marquez's refusal to detail his sales of pre-IPO private placement offerings.
Did you experience damages because of securities broker / financial advisor Robert Marquez? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Marquez and brokerage firms he 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