AARON PIERCE SEVIGNY (AARON P SEVIGNY) has been registered, since 2006, both as a broker and an investment advisor with UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER in Bonita Springs, Florida.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, AARON P SEVIGNY has been in the securities industry for 22 years and has been listed with 4 firms. Sevigny has 3 disclosures on his FINRA CRD report. All 3 disclosures are “Customer Disputes.” The significance of Sevigny’s disclosures is underscored in FINRA NOTICE to MEMBERS 03-49. FINRA conducted a review of the CRD’s of all registered representatives, only .41% had been the subject of 3 or more customer complaints. In other words, AARON P SEVIGNY’s customer complaints rank him in the top one-hundredth percent of all registered representatives for customer complaints.
There was a “Customer Dispute” dated 1/28/2021, filed against AARON P SEVIGNY. This dispute settled for $25,000.00. The allegations were, “Claimant alleges breach of fiduciary duty, failure to supervise and unsuitability.”
On 5/5/2021 another dispute filed against Sevigny settled for $49,500.00, following the allegations of, “Claimant alleges breach of fiduciary duty, breach of contract negligence and negligent supervision.”
The third “Customer Dispute” filed against AARON P SEVIGNY was dated 7/23/2021. This dispute settled for $102,600.00. The allegations were, “Unsuitability, common law fraud, breach of contract, breach of fiduciary duty, negligence, aiding and abetting fraud and violation of Florida Securities Act.”
FINRA Rule 2111 requires that a broker/dealers or associated person "have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the [firm] or associated person to ascertain the customer's investment profile." This would include the customer's age, other investments, financial situation and needs, tax status, investment objectives, investment experience, investment time horizon, liquidity needs and risk tolerance.
To discuss this article or any other securities issues, contact the Florida-based Soreide Law Group and speak to an experienced securities lawyer at no cost: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA on a contingency fee basis.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com