Tag Archives: Timothy Charles Sullivan

SII Stockbroker Terminated For Cause

February 19, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Timothy Charles Sullivan of San Ramon California is a stockbroker registered with SII Investments Inc. who has been fired in December 2017 based upon accusations that he utilized unauthorized communication vehicles and failed to make required regulatory disclosures. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Sullivan has been referenced in nine customer initiated […]

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