Mark Sullivan (CRD 2531982) is a Bethlehem, Pennsylvania broker. FINRA suspended him from association with any member firm in all capacities for three months and assessed a deferred fine of $10,000, according to an AWC issued August 6, 2026.

DEAN HARRISON GRANT (CRD#: 1945209), a 53 year-old financial advisor who was formerly affiliated with GFG Strategic Advisors, was arrested in Georgia on three counts of insurance fraud and theft by fiduciary, one count of forgery in the first degree, and two counts of trafficking a disabled or elderly person or resident, according to the court records of Baldwin County. Grant was denied bond because two elderly victims allegedly lost a total of approximately $450,000.
Dean Grant founded GFG Strategic Advisors in Milledgeville, Georgia. His company offered financial and estate planning, life insurance, retirement planning, charitable giving, disability and long-term care.
According to a local news report, an estate attorney tipped off law enforcement while he was conducting estate planning for a widow. Allegedly, the attorney had alerted law enforcement due to a lack of yearly statements and other information that should have been sent to her from an account she had. Allegedly, the widow had invested $225,000 with Dean Grant Financial. Dean Grant Financial then allegedly paid checks directly to Dean Grant, which ranged from $10,000 to $25,000.
According to a news release from the Georgia Insurance Commissioner’s Office, DEAN HARRISON GRANT allegedly used nearly $600,000 from three clients for his personal gain, and Grant did not obtain any insurance investments with the money.
The Georgia Insurance Commissioner urged anyone who purchased any insurance product or service from Dean Grant to make sure they have coverage or an active account.
According to FINRA’s BrokerCheck, DEAN HARRISON GRANT has four Disclosures on his report. One of the Disclosures is a “Customer Dispute,” and three of the Disclosures are Judgement/Lien, which are three tax liens dating back to 2017, for $122,540, $23,088.53, and $4,309. Grant was registered in the securities industry for 21 years and was listed as a registered representative with the following firms:
09/30/2014 - 01/25/2019 M HOLDINGS SECURITIES, INC. - MILLEDGEVILLE, GA
08/05/1992 - 10/04/2013 NYLIFE SECURITIES LLC - MILLEDGEVILLE, GA
If you or an elderly loved one were victims of DEAN HARRISON GRANT, of Milledgeville, Georgia, contact Soreide Law Group and speak to an experienced lawyer at no cost regarding the possible recovery of your investment losses at: 888-760-6552.
Mark Sullivan (CRD 2531982) is a Bethlehem, Pennsylvania broker. FINRA suspended him from association with any member firm in all capacities for three months and assessed a deferred fine of $10,000, according to an AWC issued August 6, 2026.
Moors & Cabot, Inc. (CRD 594) is a brokerage firm based in Boston, Massachusetts. FINRA censured and fined the firm $125,000 after finding it failed to develop and implement an anti-money laundering compliance program reasonably expected to detect and report suspicious transactions, according to an AWC issued August 24, 2026.
Cowen and Company, LLC (CRD 7616), now part of TD Securities (USA) LLC, is a brokerage firm based in New York, New York. FINRA censured and fined the firm a total of $80,000, of which $40,000 is payable to FINRA, according to an AWC issued August 19, 2026.
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