Investors potentially incurred losses because of securities broker Ryan Anthony Derks [CRD: 5751523, Lee's Summit, Missouri], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ryan Derks worked for Berthel Fisher Company Financial Services Inc. from August 22, 2019, to September 30, 2021. See the following information to discover more about disclosures involving Ryan Derks.
Specifically, a client of Derks Financial LLC contested Ryan Derks’s sales practices by filing Civil Action No. 2316-CV20020. Allegedly, Derks engaged in unauthorized trading in stocks. It appears that Derks allegedly caused the client to sustain damages. As a result, Derks Financial LLC agreed to settle the matter on February 8, 2024, by compensating the client in the amount of $218,000.
Additionally, a client of Berthel Fisher Company Financial Services Inc. contested Ryan Derks’s sales practices, according to a complaint dated June 7, 2020. Allegedly, Derks moved a portion of the client’s investments to cash without first contacting the client. It appears that Derks allegedly caused the client to sustain damages linked to money market funds and stocks. Consequently, the client sought compensation from Berthel Fisher Company Financial Services Inc. or Derks in this matter. However, this complaint was closed without a resolution.
Do you need guidance on any investment losses relating to Ryan Derks? You can contact Soreide Law Group at (888) 760-6552 or online and talk with a securities attorney regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for clients throughout the US. Also, our securities lawyers work on a contingency fee basis and advance all costs. Derks and brokerage firms Derks 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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