Sean Sullivan In Aegis Investor Disputes

Investors have come forward with complaints about securities broker Sean Sullivan AKA Sean T. Sullivan [CRD#: 6283466, Melville, NY]. Evidently, the securities broker, who worked for Aegis Capital Corp., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Aegis Capital Corp. clients allege that Sullivan made unauthorized transactions. For more on these disclosures about Sullivan, see below.

Sean Sullivan Discloses Unauthorized Transactions Allegations By Aegis Capital Corp. Client

Evidently, a client of Aegis Capital Corp. contested Sean Sullivan’s sales practices, according to a complaint dated August 2, 2022. Allegedly, Sullivan made unauthorized transactions. Supposedly, investment transactions caused the client to sustain damages. Therefore, the client seeks compensatory relief from Aegis Capital Corp. or Sullivan in this matter.

Aegis Capital Corp. Investor Accuses Sullivan Of Unauthorized Transactions

Also, a client of Aegis Capital Corp. contested Sean Sullivan’s sales practices, according to a complaint dated July 8, 2022. Allegedly, Sullivan made unauthorized transactions. Supposedly, Sullivan caused the client to sustain damages. Therefore, the client seeks compensatory relief from Aegis Capital Corp. or Sullivan in this matter.

Sean Sullivan Discloses Allegations By Aegis Capital Corp. Client

Evidently, on July 21, 2021, an Aegis Capital Corp. client filed a complaint about Sean Sullivan. Namely, the client alleged that Sullivan failed to follow the client’s instructions. Because of this, the client allegedly sustained damages on stocks. Therefore, the client requested $17,000 in compensation from Aegis Capital Corp. or Sullivan. Evidently, this complaint is pending a resolution.

Aegis Capital Corp. Investor Accuses Sean Sullivan Of Negligence

Also, a client of Aegis Capital Corp. contested Sean Sullivan’s sales practices by filing FINRA Arbitration #. 20-00216 on January 27, 2020. Allegedly, Sullivan made unsuitable transactions, was negligent, and breached a contract. Supposedly, Sullivan caused the client to sustain damages. Therefore, the client seeks compensatory relief from Aegis Capital Corp. or Sullivan in the amount of $1,079,155 in this ongoing matter.

Employment Information

Sean Sullivan worked for Spartan Capital Securities in Garden City, NY, as a securities broker from July 12, 2022 to August 24, 2022. Sullivan has been associated with Sovereign Global Advisors in Kings Park, NY, as a securities broker since September 16, 2022.

Did Aegis Capital Corp. Securities Broker Sean Sullivan Cause You To Experience Damages?

Have you suffered damages by investing with Sean Sullivan? If so, reach out to Soreide Law Group at (888) 760-6552 and talk with a securities lawyer about a possible recovery of your investment losses. Soreide Law Group, who has effectively recovered money for hundreds of investors in all 50 states, represents clients on a contingency fee basis and advances all costs. Sullivan and brokerage firms Sullivan worked for deny any and all allegations of sales practice violations.