Advisor Alert: Our Attorneys Are Investigating John M. Cullen For Investment Fraud
Did You Lose Money Because of John Cullen?
Filed: January 16, 2024
John M. Cullen currently has six (6) pending judgment/lien events. Overall, he has been the subject of three (3) customer complaints and six (6) judgment/lien events. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on John M. Cullen.
Who Is John M. Cullen?
- Advisor Name: John M. Cullen
- Aliases: John Cullen
- CRD: 5062835
- Location: New York, New York
- Current Employer: Currently Not Registered
- Previous Firms: Spartan Capital Securities, LLC, Andrew Garrett Inc., and The Concord Equity Group, LLC
- Number of Known Customer Complaints: 3
- Number of Known Judgment/Lien Events: 6
- Can John Cullen Be Sued: Yes, in Private Arbitration
- Can John Cullen’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $336,948
- Highest Settlement: $39,500
If you have suffered investment losses by John Cullen, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against John Cullen For Broker Misconduct
As of this publication date, John Cullen has been the subject of 3 customer disputes and 6 judgment/lien events. Let’s review them below.
In January 2020, a FINRA arbitration was filed against or in reference to John Cullen by a customer of Spartan Capital Securities, LLC alleging misrepresentation and unsuitable recommendations. Per the customer, he/she lost over $336,948 because of Mr. Cullen’s actions. On February 22, 2022, Mr. Cullen settled the claim for $39,500, and some or all of this amount may have been paid by Mr. Cullen’s employer and/or insurance carrier.
In August 2019, John Cullen was the subject of a civil judgment or lien in the amount of $3,031.50. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.
In March 2019, John Cullen was the subject of a civil judgment or lien in the amount of $8,562. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.
In September 2018, John Cullen was the subject of a civil judgment or lien in the amount of $64,601. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.
In March 2016, John Cullen was the subject of a civil judgment or lien in the amount of $13,096.19. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.
In September 2015, John Cullen was the subject of a civil judgment or lien in the amount of $39,577.64. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.
In July 2015, a FINRA arbitration was filed against or in reference to John Cullen by a customer of Andrew Garrett, Inc. alleging overconcentration. Per the customer, he/she lost over $250,000 because of Mr. Cullen’s actions. On November 30, 2017, Mr. Cullen settled the claim for $30,000, and some or all of this amount may have been paid by Mr. Cullen’s employer and/or insurance carrier.
In August 2011, John Cullen was the subject of a civil judgment or lien in the amount of $3,332. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.
In June 2010, a complaint was filed against or in reference to John Cullen by a customer of Andrew Garrett, Inc. alleging unsuitable and excessive trading. Per the customer, he/she lost over $168,487 because of Mr. Cullen’s actions. On March 15, 2011, Mr. Cullen settled the claim for $39,000, and some or all of this amount may have been paid by Mr. Cullen’s employer and/or insurance carrier.
How To File A Claim Against John Cullen (previously with Spartan Capital Securities, LLC, Andrew Garrett Inc., and The Concord Equity Group, LLC) To Get Your Money Back
If you have questions about John Cullen, Spartan Capital Securities, LLC, Andrew Garrett Inc., The Concord Equity Group, LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll free at 1-800-950-6553.