Investors may have incurred losses due to securities broker Teddy R Ezzell III [CRD: 1527524, Fort Collins, Colorado], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ezzell has worked with LPL Financial LLC since December 15, 2014, and with Western Wealth Management LLC since June 22, 2016. Below, you can learn more about the allegations reported against Ezzell, which include claims of unsuitable recommendations and misrepresentation.
Specifically, a Momentum Independent Network Inc. client filed FINRA Arbitration No. 24-00750 about Teddy Ezzell. Mainly, the client alleged that Ezzell made unsuitable recommendations, breached his fiduciary duty, and misrepresented important facts. Also, the client alleged that the firm failed to supervise the broker. Because of this, the client allegedly sustained damages on non-traded real estate investment trusts. As a result, on May 30, 2024, Momentum Independent Network Inc. settled this matter by paying the client $35,000.00 in damages.
Evidently, 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. Supposedly, Ezzell caused the client to sustain damages on real estate securities. Therefore, the client sought compensation from Southwest Securities Inc. or Ezzell in the amount of over $5,000.00 in this matter. However, this complaint closed without a resolution.
Did you experience losses because of Teddy Ezzell? Contact 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 is experienced with recovering losses for investors throughout the US. Also, the firm takes cases on a contingency fee arrangement and advances all costs. Ezzell and brokerage firms Ezzell 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 […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com