Soreide Law Group is looking into possible investor claims on behalf of those who incurred losses through securities broker Robert James Rumley III [CRD: 4474706, Atlanta, Georgia]. Evidently, Rumley worked for Morgan Stanley from May 26, 2011, to October 8, 2021. Continue reading to learn more about Rumley's disclosures.
Particularly, on August 31, 2023, a Morgan Stanley client filed FINRA Arbitration No. 23-02386 about Robert Rumley. Specifically, the client alleged that Rumley did not manage her accounts in her best interests from 2013 to 2021. Consequently, the client allegedly sustained damages. Therefore, the client requested compensation from Morgan Stanley or Rumley. Notably, this arbitration is pending a resolution.
Also, a client of Morgan Stanley contested Robert Rumley's sales practices, according to a complaint dated June 19, 2013. Allegedly, Rumley sold stock on August 24, 2012, without authorization. It appears that Rumley allegedly caused the client to sustain damages. Therefore, the client sought compensation from Morgan Stanley or Rumley in this matter. However, this complaint was closed with no action on October 17, 2013.
Did you experience damages because of securities broker / financial advisor Robert Rumley? 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. Rumley 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 […]
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