Sean Robert Sullivan Allegedly Made Unsuitable Investments; Damage Amount of $404,120.00 Has Been Requested

Sean Robert Sullivan allegedly made unsuitable investments, according to a Pending Customer Dispute filed on Sullivan’s FINRA BrokerCheck Report, and under review by investor rights attorney Alan Rosca.

The aforementioned dispute was filed on April 10, 2019, FINRA states, and damage amounts of $404,120.00 have been requested.

Investor rights attorney Alan Rosca, of the Goldman Scarlato & Penny PC law firm, is investigating activity related to Sean Robert Sullivan’s alleged unsuitable investments. Investors who believe they may have lost money in activity related to Sean Robert Sullivan’s alleged unsuitable investments are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.

Sean Robert Sullivan Closed a Customer Dispute with No Action Following Allegations of Unauthorized Trading

Sean Robert Sullivan has also settled a Customer Dispute that had accused him of alleged unauthorized trading, FINRA notes.

The aforementioned dispute was filed on December 6, 2006, FINRA states, and damage amounts of $18,294.00 had been requested, and was settled with no action.

Sean Robert Sullivan has spent 14 years in the securities industry, is a registered broker in four U.S. four states, and has been registered with National Securities Corporation in South Norwalk, CT since September 18, 2017, FINRA reports.

Sullivan, FINRA notes, has also been registered with the following firms:

  • Voya Financial Advisors, Inc., Palm Beach Gardens, FL— March 7, 2017 to September 16, 2017
  • Securities America, Inc., Norwalk, CT— May 5, 2014 to October 21, 2016
  • FSC Securities Corporation, Norwalk, CT— November 2, 2012 to May 8, 2014
  • Newbridge Securities Corporation, New York, NY— December 9, 2011 to June 21, 2012
  • Maxim Group LLC, New York, NY— November 24, 2008 to December 12, 2011
  • Eastbrook Capital Group LLC, New York, NY— March 18, 2004 to November 24, 2008 (FINRA expelled Eastbrook Capital Group LLC on September 23, 2009)

Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated.

Securities Lawyer Investigating

The Goldman Scarlato & Penny PC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Sean Robert Sullivan’s alleged unsuitable investments. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.

Investors who believe they lost money as a result of Sean Robert Sullivan’s alleged unsuitable investments may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at rosca@lawgsp.com, or through the contact form on this webpage.

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In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent updates regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases. Also, the brokercheck report linked to some of our blogs is the up-to-date version as of the date of posting. Visitors may check the most recent version of each brokercheck report at www.finra.org.