Tag Archives: Stephen James Sullivan

First Midwest Stockbroker Suspended For Unauthorized Trading

June 19, 2017  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

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). […]

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