Investors have come forward with complaints about securities broker Wenjinn Chang [CRD: 4536266, Rockville, Maryland]. Notably, the securities broker, who worked for Independent Financial Group LLC, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Independent Financial Group LLC clients allege that Chang made unsuitable recommendations and overconcentrated accounts. For more on these disclosures about Chang, see below.
Evidently, an Independent Financial Group LLC client filed FINRA Arbitration: 20-00474 about Wenjinn Chang. Namely, the client alleged that Chang made unsuitable recommendations and overconcentrated accounts in certain alternative investments. Therefore, on July 14, 2021, Independent Financial Group LLC settled this matter by paying the client $85,000 in damages.
Also, an Independent Financial Group LLC client filed FINRA Arbitration: 18-03498 about Wenjinn Chang. Namely, the client alleged that Chang overconcentrated accounts in real estate securities. Therefore, on July 10, 2019, Independent Financial Group LLC settled this matter by paying the client $32,500 in damages.
Have you suffered damages by investing with Wenjinn Chang? If so, reach out to Soreide Law Group at (888) 760-6552 and consult with a securities lawyer regarding a possible recovery of your investment losses or other damages. Soreide Law Group, who has successfully recovered money for many investors throughout the United States, represents clients on a contingency fee basis and advances all costs. Chang and brokerage firms Chang worked for deny any and all 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 […]
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