Investors potentially experienced losses because of securities broker Teddy R. Ezzell III [CRD: 1527524, Fort Collins, Colorado], according to disclosures on FINRA BrokerCheck. Ezzell has worked for LPL Financial LLC since December 15, 2014, and Western Wealth Management LLC since June 22, 2016. Read on to learn more about the disclosures concerning Ezzell and how they may have impacted investors.
Also, a Momentum Independent Network Inc. client filed FINRA Arbitration No. 24-00750 about Teddy Ezzell. The client alleged that Ezzell breached his fiduciary duty, made unsuitable recommendations, and misrepresented investment information. Additionally, the client accused the firm of failing to supervise. Because of these alleged actions, the client sustained damages on non-traded real estate investment trusts. Therefore, on May 30, 2024, Momentum Independent Network Inc. settled this matter by paying the client $35,000 in damages.
Particularly, a client of Southwest Securities Inc. contested Teddy Ezzell’s sales practices, according to a complaint dated February 8, 2024. Allegedly, Ezzell made unsuitable recommendations regarding a real estate security. It appears that Ezzell allegedly caused the client to sustain damages. Therefore, the client sought damages from Southwest Securities Inc. or Ezzell in this matter. However, the complaint was closed with no action as of April 3, 2024.
Are you looking for more information about Teddy Ezzell? If you incurred losses, reach out to Soreide Law Group online or at (888) 760-6552 and talk to a securities attorney concerning a possible recovery. Soreide Law Group has recovered losses for investors throughout the country, represents clients on a contingency fee basis, and advances all costs. Ezzell and brokerage firms Ezzell 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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