Soreide Law Group is investigating possible investor claims against securities broker Samuel Heavrin (CRD: 6996924, Denver, Colorado). Particularly, FINRA sanctioned the securities broker, who worked for JP Morgan Securities LLC. Allegedly, Heavrin failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Heavrin.
Evidently, on December 27, 2022, FINRA issued Case: 2022073912001, sanctioning Samuel Heavrin for infractions. Specifically, Heavrin was barred. Notably, this means that he cannot associate with FINRA-member entities as a securities broker or in other capacities. Particularly, FINRA alleged that Heavrin failed to respond to FINRA’s request for information.
Also, JP Morgan Securities LLC disaffiliated with Heavrin on December 10, 2021. Allegedly, Heavrin engaged in an undisclosed outside business activity.
Have you sustained damages because of Samuel Heavrin? If so, you can reach out to Soreide Law Group at (888) 760-6552 and talk with an investment lawyer about a potential recovery of your investment losses. Soreide Law Group, who has successfully recovered money for hundreds of investors across the United States, represents clients on a contingency fee basis and advances all costs. Please keep in mind that Heavrin and brokerage firms Heavrin worked for deny any and all 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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