Investors apparently complained about securities broker Thomas Abbitt Jenkins Jr. (also known as Tom Jenkins) [CRD: 2562513, Houston, Texas], according to publicly available information on FINRA BrokerCheck. Evidently, Thomas Jenkins has been registered with UBS Financial Services Inc. in Houston, Texas since September 7, 2010, where he also serves as an investment adviser representative since September 9, 2010. See the following information to discover more about the disclosures involving Jenkins.
Particularly, on June 20, 2025, a UBS Financial Services Inc. client filed FINRA Arbitration No. 25-01070 about Thomas Jenkins. Mainly, the client alleged that Jenkins was negligent and breached his fiduciary duty regarding a transfer of assets to certain trusts, resulting in tax liabilities. Because of this, the client allegedly incurred damages linked to fixed income products and equities. Consequently, the client requested $4,100,000 in compensation from UBS Financial Services Inc. or Jenkins. It appears that this arbitration is pending a resolution.
Specifically, a client of Merrill Lynch contested Thomas Jenkins’s sales practices, according to a complaint dated April 7, 2006. Allegedly, Jenkins made unsuitable recommendations. It appears that Jenkins allegedly caused the client to sustain damages connected to stocks. Therefore, the client sought compensation from Merrill Lynch or Jenkins in the amount of $400,000 in this matter. However, the firm denied this complaint.
Notably, on December 11, 2001, a Merrill Lynch client filed a complaint about Thomas Jenkins. Primarily, the client alleged that Jenkins engaged in unauthorized trading. For this reason, the client allegedly sustained damages relating to over-the-counter equities. As a result, the client requested compensation from Merrill Lynch or Jenkins. However, this complaint closed without a resolution.
Are you concerned regarding investments you made with Thomas Jenkins? If so, reach out to Soreide Law Group at (888) 760-6552 or online and talk to a securities lawyer concerning a possible recovery of your investment losses. For more than a decade, Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee basis and advances all costs. Jenkins and brokerage firms Jenkins 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 […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com