Investors might have sustained losses because of securities broker Sean Patrick McGerr [CRD: 2676426, Lincoln, Nebraska], based on publicly available information reported on FINRA BrokerCheck. Sean McGerr worked for UBS Financial Services Inc. from February 20, 2009, to February 23, 2021, and works for Wells Fargo Clearing Services LLC and Wells Fargo Advisors since February 12, 2021. Below, individuals can find out more the securities broker’s disclosures, including allegations of unsuitable investments and misrepresentations.
Specifically, a Merrill Lynch, Pierce, Fenner & Smith Incorporated client filed FINRA Arbitration No. 12-03437 about Sean McGerr. Evidently, the client alleged that McGerr made unsuitable investments and misrepresentations. For this reason, the investor supposedly sustained damages on alternative investments. Therefore, on January 10, 2014, Merrill Lynch settled this matter by paying the client $60,000.00 in damages.
Notably, on September 9, 2024, a UBS Financial Services Inc. client filed FINRA Arbitration No. 24-01773 about Sean McGerr. Mainly, the client alleged that McGerr made unsuitable recommendations by failing to perform adequate due diligence on a fund of funds. Consequently, the client requested $350,000.00 in compensation from UBS Financial Services Inc. or McGerr. It appears that this arbitration is pending a resolution.
Do you need clarification on any investment losses relating to Sean McGerr? You can get in touch with Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney about a potential recovery recovery. Soreide Law Group is experienced with recovering losses for investors throughout the United States. Also, the firm takes cases on a contingency fee arrangement and advances all costs. McGerr and the firms McGerr 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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