Patrick J. Sullivan, a 44 year-old Cumberland, Rhode Island, financial advisor, was barred from the securities industry by the U.S. Securities and Exchange Commission (SEC), after pleading guilty to fraud charges. The SEC issued the order on March 21st, 2014.
Patrick Sullivan was a member and also a co-founder of and insurance business, Winchester Financial Securities. Sullivan, according to the SEC, pleaded guilty to interstate transportation of property taken by fraud in 2011. According to reports, Sullivan defrauded investors between 2005 - 2010 by converting clients funds to his own personal use instead of investing the clients' funds.
Sullivan has been ordered to make restitution in the amount of $424,905. He has been sentenced to 21 months in prison and 3 years of supervised release.
Soreide Law Group represents clients nationwide in arbitrations before FINRA. If you have experienced losses through your broker/financial advisor, call a Securities Arbitration Lawyer at Soreide Law Group for a free consultation on how to potentially recover your losses: 888-760-6552.
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