Investors potentially incurred losses because of securities broker Thomas Woodward Hulick (also known as Tom Hulick) [CRD: 1806305, Woodcliff Lake, New Jersey], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hulick worked for Newbridge Securities Corporation from March 26, 2019, to May 12, 2020, and has been employed by Strategy Asset Managers LLC since January 2018. Read on to learn more about the disclosures involving Hulick.
Particularly, on August 25, 2025, a Strategy Asset Managers LLC client filed a complaint about Thomas Hulick. The client alleged that Hulick failed to supervise. The complaint alleged unsuitable investment recommendations regarding a closed-end income fund. For this reason, the investor allegedly incurred damages. Consequently, the client requested $500,000 in compensation from Strategy Asset Managers LLC or Hulick.
Notably, a client of Morgan Stanley DW Inc. contested Thomas Hulick’s sales practices, according to a complaint dated November 15, 2001. Allegedly, Hulick made unsuitable recommendations. It appears that Hulick allegedly caused the client to sustain damages linked to stocks. Therefore, the client sought compensation from Morgan Stanley DW Inc. or Hulick in the amount of $16,000 in this matter.
Did you experience losses because of Thomas Hulick? You can get in touch with Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery of your investment losses. For years, Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm takes cases on a contingency fee arrangement and advances all costs. Hulick and brokerage firms Hulick 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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