Soreide Law Group is currently conducting an investigation into the activities of Ryan Scott Mallow (also known as Ryan Mallow) [CRD#: 2420445, Jacksonville, Florida], a previously registered broker and financial advisor. Mallow worked with Fidelity Brokerage Services LLC in Jacksonville, Florida, from June 28, 2010, to June 2, 2023. He was previously affiliated with Stratton Oakmont Inc. FINRA BrokerCheck shows that Mallow has been involved in disputes alleging misrepresentation and failure to execute, which have led to settlements paid to affected clients.
Notably, a Fidelity Brokerage Services LLC client filed FINRA Arbitration: 20-01383 about Ryan Mallow. Evidently, the client alleged that Mallow misrepresented the level of risk associated with securities in a managed account. Because of this, the client allegedly sustained damages. Therefore, on October 4, 2022, Fidelity Brokerage Services LLC settled this matter by paying the client $75,000 in damages.
Also, a client of Stratton Oakmont Inc. contested Ryan Mallow’s sales practices by filing NASD #95-04241. Supposedly, Mallow failed to execute as required. It appears that Mallow caused the client to sustain damages on equities, including common and preferred stock. Therefore, Stratton Oakmont Inc. opted to settle the matter on September 10, 1996, by compensating the client in the amount of $20,000.
Did you experience losses because of Ryan Mallow? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Mallow 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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