Stephen James Sullivan of Garden City, New York, a stockbroker registered with Spartan Capital Securities LLC, is the subject of an enforcement action initiated by Financial Industry Regulatory Authority (FINRA) in which the regulator is seeking sanctions against Sullivan based upon allegations that Sullivan failed to provide testimony requested by FINRA in connection with its…
Stephen James Sullivan of Garden City, New York, a stockbroker registered with Salomon Whitney LLC, has been fined $10,000.00 and suspended for nine months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Sullivan engaged in unsuitable trading. Letter of Acceptance, Waiver, and Consent No. 2019061952601 (October 21, 2022). FINRA…
Stephen James Sullivan of New York, New York, a stockbroker formerly registered with Newbridge Securities Corporation, was identified in a customer initiated investment related FINRA securities arbitration claim which was settled for $30,000.00 in damages because Sullivan allegedly made unauthorized, unsuitable, and excessive securities transactions in the customer’s Newbridge Securities Corporation account. Financial Industry Regulatory…
Stephen James Sullivan (also known as Stephen Sullivan) of New York New York a stockbroker formerly registered with Newbridge Securities Corporation is referenced in a Financial Industry Regulatory Authority (FINRA) investigation in which he might face disciplinary action from the regulator based on allegations of defrauding customers by churning their accounts and making excessive trades….
Stephen James Sullivan, of Garden City, New York, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he traded in two customers’ investment accounts on a discretionary basis. Letter of Acceptance, Waiver and Consent, No. 2014039219802 (Feb. 3, 2016)….