Thomas Daniel Sullivan, of New York, New York, a stockbroker formerly registered with Lampert Capital Markets Inc., is the subject of a customer initiated investment related arbitration claim on June 16, 2017, in which the customer requested $11,069.00 in damages based upon allegations that Sullivan effected equities transactions on an excessive and unsuitable basis.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Sullivan has been identified in six additional customer initiated investment related disputes containing allegations of his misconduct while employed with Prime Charter Ltd., Oppenheimer & Co. Inc., Shearson Lehman Brothers Inc., and Lampert Capital Markets Inc.
Specifically, on January 27, 2014, a customer was awarded $35,000.00 in damages according to an investment related arbitration claim involving Sullivan’s misconduct, based upon allegations that Sullivan effected unsuitable transactions in the customer’s account pertaining to a private placement. Subsequently, on December 19, 2016, a customer initiated investment related arbitration claim regarding Sullivan’s activities was resolved for $7,000.00 in damages based upon allegations including suitability, churning and excessive trading of equities in the customer’s account.
Sullivan’s registration with Lampert Capital Markets Inc. was terminated on May 24, 2016. He became associated with Westpark Capital, Inc. on December 13, 2016. Sullivan has been associated with two different broker dealers which have been expelled by securities regulators for violation of federal securities laws or are otherwise defunct. He was also fired from previous employer, Hallmark Investments, on May 14, 2010, based upon allegations that he stole funds and effected transactions without the firm’s consent.
Guiliano Law Group
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