Investors may have suffered financial harm by securities broker Tony Roberts [CRD: 2691066, Huntington, New York], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Tony Roberts has worked for MML Investors Services LLC as a securities broker since March 25, 2017, and as a financial advisor since May 11, 2021. See the following information to discover more about the disclosures involving Tony Roberts.
Particularly, on March 6, 2026, a MML Investors Services LLC client filed a complaint about Tony Roberts. Mainly, the client alleged that Roberts misappropriated funds from accounts, mismanaged investment accounts, opened and closed accounts without the client’s knowledge, and refused to close accounts when requested. Because of this, the client allegedly sustained damages on mutual funds, variable annuities, managed accounts, and stocks. Therefore, the client requested $600,000 in compensation from MML Investors Services LLC or Roberts. However, the firm denied this complaint.
Also, a client of MSI Financial Services Inc. contested Tony Roberts’ sales practices, according to a complaint dated August 15, 2023. Allegedly, Roberts made misrepresentations by indicating that a real estate security was guaranteed after ten years when the investment allegedly did not perform as represented. It appears that Roberts allegedly caused the client to incur damages linked to real estate securities. As a result, the client sought compensation from MSI Financial Services Inc. or Roberts in this matter. However, the firm denied this complaint.
Additionally, an Investors Capital Corp. client filed FINRA Arbitration No. 12-03959 about Tony Roberts. Primarily, the client alleged that Roberts made unsuitable recommendations concerning an investment strategy for the client’s account. For this reason, the client allegedly incurred damages associated with mutual funds, exchange-traded funds, and stocks. Consequently, on June 16, 2014, Investors Capital Corp. settled this matter by paying the client $92,000.
Are you worried about investments you made through Tony Roberts? You should contact Soreide Law Group at (888) 760-6552 or online and talk to a securities attorney regarding a potential recovery of your investment losses. Soreide Law Group has recovered losses for many clients throughout the US. Also, our securities lawyers work on a contingency fee basis and advance all costs. Roberts and brokerage firms Roberts 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