Advisor Alert: Our Attorneys Are Investigating Sean Michael Fleming For Investment Fraud
Did You Lose Money Because of Sean Fleming?
Filed: March 11, 2024
Sean Fleming has been the subject of four (4) customer complaints. 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 Sean Michael Fleming.
Who Is Sean Michael Fleming of Fleming Financial Service?
- Advisor Name: Sean Michael Fleming
- Aliases: Sean Fleming
- CRD: 6516544
- Location: Mesa, Arizona
- Current Employer: Fleming Financial Service
- Previous Firms: Unknown
- Number of Known Customer Complaints: 4
- Can Sean Fleming Be Sued: Yes, in Private Arbitration
- Can Sean Fleming’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $1,330,281.53
- Highest Settlement: $483,333.33
If you have suffered investment losses by Sean Fleming, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a breach of fiduciary duty 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 Sean Fleming For Broker Misconduct
As of this publication date, Sean Fleming has been the subject of 4 customer disputes. Let’s review them below.
In January 2023, a complaint was filed against or in reference to Sean Fleming by multiple customers of Fleming Financial Services alleging that in December 2020, Mr. Fleming recommended an investment in a private placement that later failed. Mr. The claimants claim the investment and two indexed annuities were unsuitable and assert causes of action against Fleming Financial, Mr. Fleming, and Ms. Fleming for breach of fiduciary duty, negligence, breach of contract and implied covenant of good faith and fair dealing, and violation of Arizona investment law. Per the customers, they lost over $1,330,281.53 because of Mr. Fleming’s actions. An arbitration panel found that Sean Fleming was negligent and awarded $483,333.33 in favor of the customers.
In March 2022, a FINRA arbitration was filed against or in reference to Sean Fleming by multiple customers of Fleming Financial Services alleging that in December 2020, Mr. Fleming recommended an investment in a private placement that later failed. Per the customers, they lost over $460,000 because of Mr. Fleming’s actions. On July 26, 2022, Mr. Fleming settled the claim for $200,000.
In January 2022, a complaint was filed against or in reference to Sean Fleming by multiple customers of Fleming Financial Services alleging that in May 2021, Mr. Fleming recommended an investment in a private placement that later failed. Per the customers, they lost over $200,000 because of Mr. Fleming’s actions. On August 16, 2022, Mr. Fleming settled the claim for $200,000.
In January 2022, a complaint was filed against or in reference to Sean Fleming by multiple customers of Fleming Financial Services alleging that in May 2021, Mr. Fleming recommended an investment in a private placement that later failed. The claimants claimed the investment was unsuitable and asserted causes of action against Fleming Financial, Mr. Fleming, and Ms. Fleming for breach of fiduciary duty, negligence, breach of contract, and violation of Arizona securities law. Per the customers, they lost over $150,000 because of Mr. Fleming’s actions. On July 26, 2022, Mr. Fleming settled the claim for $80,000.
How To File A Claim Against Sean Fleming of Fleming Financial Services To Get Your Money Back
If you have questions about Sean Fleming, Fleming Financial Services, 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.