Investors apparently complained about securities broker Rogers Kenneth Haydon III [CRD: 4452565, Atlanta, Georgia], according to disclosures on FINRA BrokerCheck. Evidently, Haydon worked for Raymond James & Associates Inc. from February 13, 2013, to September 4, 2025. Keep reading to find out more about the disclosures involving this individual.
Particularly, on August 28, 2025, Raymond James & Associates Inc. disaffiliated with Haydon. Raymond James & Associates Inc. claimed that Haydon acted in ways that violated the firm’s rules regarding communications, promotional materials, outside business ventures, private securities transactions, and selling away.
Additionally, a client of Morgan Keegan & Company Inc. disputed Rogers Haydon’s sales practices, according to a complaint dated December 22, 2010. Allegedly, Haydon made unsuitable recommendations that resulted in poor performance in mutual fund investments. It appears that Haydon allegedly caused the client to sustain damages. As a result, the client sought compensation from Morgan Keegan & Company Inc. or Haydon in an amount believed to exceed $5,000 in this matter. However, the firm denied this complaint.
Do you need clarification on any investment losses relating to Rogers Haydon? Contact Soreide Law Group at (888) 760-6552 or online and talk to a securities lawyer concerning a possible recovery of your investment losses. For more than a decade, Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee basis and advances all costs. Haydon and brokerage firms Haydon 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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