Advisor Alert: Our Attorneys Are Investigating Sean T Sullivan For Investment Fraud
Did You Lose Money Because of Sean Sullivan?
Filed: January 16, 2024
Sean Sullivan currently has three (3) pending customer complaints. Overall, he has been the subject of seven (7) customer complaints and one (1) termination 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 T Sullivan.
Who Is Sean T Sullivan of Sovereign Global Advisors LLC?
- Advisor Name: Sean T Sullivan
- Aliases: Sean Sullivan
- CRD: 6283466
- Location: Denver, Colorado
- Current Employer: Sovereign Global Advisors LLC
- Previous Firms: Spartan Capital Securities, LLC, Aegis Capital Corp., and Joseph Stone Capital L.L.C.
- Number of Known Customer Complaints: 7
- Number of Known Termination Events: 1
- Can Sean Sullivan Be Sued: Yes, in Private Arbitration
- Can Sean Sullivan’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $1,500,000
- Highest Settlement: $145,000
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 the subject of 7 customer disputes and 1 termination event. Let’s review them below.
In April 2023, a complaint was filed against or in reference to Sean Sullivan by a customer of Aegis Capital Corp. alleging unsuitable investment strategy, excessive trading, breach of fiduciary duty, negligence & fraud. Per the customer, he/she lost over $175,000 because of Mr. Sullivan’s actions. As of this publication date, this claim remains pending.
In April 2023, a complaint was filed against or in reference to Sean Sullivan by a customer of Aegis Capital Corp. alleging unauthorized trading, excessive trading, suitability, fraud, and negligence.
In January 2023, a complaint was filed against or in reference to Sean Sullivan by a customer of Aegis Capital Corp. alleging unsuitable investment strategy, excessive trading, breach of fiduciary duty, negligence & fraud. Per the customer, he/she lost over $1,500,000 because of Mr. Sullivan’s actions. As of this publication date, this claim remains pending.
In October 2022, a complaint was filed against or in reference to Sean Sullivan by a customer of Aegis Capital Corp. alleging unsuitable investment recommendations. On March 16, 2023, Mr. Sullivan settled the claim for $75,000, and some or all of this amount may have been paid by Mr. Sullivan’s employer and/or insurance carrier.
In August 2022, a complaint was filed against or in reference to Sean Sullivan by a customer of Aegis Capital Corp. alleging unauthorized trading and failure to follow instructions. As of this publication date, this claim remains pending.
In July 2022, Aegis Capital Corp. terminated Sean Sullivan for multiple allegations of unauthorized trading.
In July 2021, a complaint was filed against or in reference to Sean Sullivan by a customer of Aegis Capital Corp. alleging failure to follow instructions and poor performance. Per the customer, he/she lost over $17,000 because of Mr. Sullivan’s actions. On August 26, 2021, Mr. Sullivan settled the claim for $14,500, and some or all of this amount may have been paid by Mr. Sullivan’s employer and/or insurance carrier.
In January 2020, a complaint was filed against or in reference to Sean Sullivan by a customer of Aegis Capital Corp. alleging unsuitability, common law fraud, gross negligence, breach of contract, and elder abuse. Per the customer, he/she lost over $1,079,155 because of Mr. Sullivan’s actions. On April 21, 2021, Mr. Sullivan settled the claim for $145,000, and some or all of this amount may have been paid by Mr. Sullivan’s employer and/or insurance carrier.
How To File A Claim Against Sean Sullivan of Sovereign Global Advisors LLC (previously with Spartan Capital Securities, LLC, Aegis Capital Corp., and Joseph Stone Capital L.L.C.) To Get Your Money Back
If you have questions about Sean Sullivan, Sovereign Global Advisors LLC, Spartan Capital Securities, LLC, Aegis Capital Corp., Joseph Stone Capital L.L.C., 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.