Investors apparently complained about securities broker Robert Harold Sweet (also known as Bob Sweet) [CRD: 4090608, El Paso, Texas], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Sweet joined Independent Financial Group, LLC as a broker on February 22, 2016, and as an investment adviser on March 23, 2016. Read below to discover more about disclosures involving this securities broker.
An allegation of unsuitable advice involving non-traded REITs generally means a broker potentially recommended these investments to a customer without properly determining whether they matched the customer’s financial goals, risk tolerance, or liquidity needs. Non-traded REITs are typically high-risk, long-term, and illiquid. Problems can arise when customers are not advised about risks, fees, or restrictions on accessing funds. These situations often lead customers to claim losses when the investments perform poorly or are illiquid.
Notably, on August 19, 2025, a Raymond James Financial Services and LPL Financial LLC customer filed FINRA Arbitration No. 25-01732 about Robert Harold Sweet. Evidently, the customer alleged that Sweet violated federal securities laws (Reg BI) in connection with investing the customer in non-traded real estate investment trusts. Because of this, the customer allegedly incurred damages. As a result, the customer requested $100,000 in compensation from Raymond James Financial Services, LPL Financial LLC, or Sweet. It appears that this arbitration is pending a resolution.
Did you suffer any investment-related losses because of Robert Harold Sweet? You can get in touch with Soreide Law Group at (888) 760-6552 or online and consult with a securities attorney regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors nationwide, works on a contingency-fee basis, and advances all costs. Sweet and brokerage firms Sweet 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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