Sean T. Sullivan of Melville, NY, a stockbroker registered with Aegis Capital Corp., is the subject of a customer initiated investment related complaint filed on October 21, 2022, in which the customer requested compensation based upon allegations that Sullivan made unsuitable investment recommendations when Sullivan was associated with Aegis Capital Corp.
FINRA Public Disclosure shows that Sullivan has been referenced in three other customer initiated investment related disputes concerning Sullivan’s conduct while associated with Aegis Capital Corp. On April 21, 2021, a FINRA securities arbitration claim involving Sullivan’s conduct was settled for $145,000.00 in damages based upon allegations that Sullivan made unsuitable recommendations, committed fraud, was negligent, breached a contract, and committed elder abuse. FINRA Arbitration No. 20-00216.
Sullivan was also referenced in a complaint that was settled on August 26, 2021, for $14,500.00 in damages based upon allegations that Sullivan failed to follow instructions and recommended poorly performing stocks.
On August 2, 2022, another customer filed an investment related complaint involving Sullivan’s conduct in which the customer requested compensation based upon allegations that Sullivan engaged in unauthorized trading and failed to follow instructions.
Sullivan was associated with Aegis Capital Corp. in Melville, NY, as a stockbroker from November of 2015 to July of 2022. Aegis Capital Corp. discharged Sullivan on July 8, 2022, based upon allegations that Sullivan engaged in unauthorized trading.
Sullivan was associated with Spartan Capital Securities LLC in Garden City, NY, as a stockbroker from July of 2022 to August of 2022, and has been associated with Sovereign Global Advisors LLC in Kings Park, NY, as a stockbroker since September 16, 2022.
