Advisor Alert: Our Attorneys Are Sean Robert Sullivan For Investment Fraud
Did You Lose Money Because of Sean Sullivan of (previously with Arete Wealth Management)?
Filed: October 20, 2023
Sean Sullivan has been the subject of two (2) customer complaints and has filed one (1) bankruptcy event. 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 Robert Sullivan.
Who Is Sean Robert Sullivan?
- Advisor Name: Sean Robert Sullivan
- Aliases: Sean Sullivan
- CRD: 4769711
- Location: Unknown
- Current Employer: Currently Not Registered
- Previous Firms: Arete Wealth Management, LLC, National Securities Corporation, Voya Financial Advisors, Inc., and Securities America, Inc.
- Number of Known Customer Complaints: 2
- Number of KNown Bankruptcy Events: 1
- Can Sean Sullivan Be Sued: Yes, in Private Arbitration
- Can Sean Sullivan’s Employers Be Sued For Failing to Supervise His Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $404,500
- Highest Settlement: $95,000
If you have suffered investment losses by Sean Sullivan, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment 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 Sean Sullivan For Broker Misconduct
As of this publication date, Sean Sullivan has been targeted in 2 customer complaints and 1 bankruptcy event. Let’s review them below.
In October 2022, Mr. Sullivan filed for personal bankruptcy.
In March 2019, a FINRA arbitration was filed against or in reference to Sean Sullivan by a customer of Securities America, Inc. alleging that between May 2015 and May 2017 Mr. Sullivan recommended and sold investments in REITs and a variable annuity that were unsuitable. The customer also added misrepresentation, overconcentration in liquid investments, fraud, negligence, breach of contract, and forgery in the allegations. As per the customer, he lost over $404,500 because of Mr. Sullivan’s actions. On September 15, 2020, Mr. Sullivan settled the claim for $95,000, and some or all of this amount may have been paid by Mr. Sullivan’s employer and/or insurance carrier.
In December 2006, a complaint was filed against or in reference to Sean Sullivan by customers of First Republic Group, LLC alleging that Mr. Sullivan engaged in unauthorized trading. Per the customers, they lost over $18,294 due to Mr. Sullivan’s actions.
How To File A Claim Against Sean Sullivan (previously with Arete Wealth Management, LLC, National Securities Corporation, Voya Financial Advisors, Inc., and Securities America, Inc.) To Get Your Money Back.
If you have questions about Sean Sullivan, Arete Wealth Management, LLC, National Securities Corporation, Voya Financial Advisors, Inc., Securities America, Inc., 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.