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.
TORY A DUGGINS was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm. The last firm Duggins was registered with was SPARTAN CAPITAL SECURITIES, LLC, of New York, New York from 02/29/2016 - 01/31/2024. According to the FINRA report dated 1/21/2026, TORY A DUGGINS was named a respondent in […]
Investors might have sustained financial harm through WestPark Capital Inc. [CRD: 39914, Los Angeles, California], according to publicly available information found on Financial Industry Regulatory Authority BrokerCheck. WestPark Capital has been registered with FINRA since 1996 and maintains its headquarters in Los Angeles, California. Keep reading to discover more about the regulatory action involving the […]
Investors might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com