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.
Investors may have suffered financial harm by securities broker Timothy George Marshall (also known as George Timothy Marshall and Tim Marshall) [CRD: 2037031, Chicago, Illinois], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Marshall has worked for Quincy Wells Capital LLC since May 1, 2026; Great Point Capital LLC from August 23, 2019, to May 1, 2026; and Primex from September 27, 2018, to August 26, 2019. See below to learn more about Marshall’s disclosures.
Specifically, on October 21, 2025, a Great Point Capital client filed FINRA Arbitration No. 25-02296 about Timothy Marshall. Primarily, the client alleged that Marshall made unsuitable recommendations, failed to perform due diligence, breached a contract, and breached his fiduciary duty in connection with Delaware statutory trust investments purchased as part of a Section 1031 tax-deferred exchange. Because of this, the client allegedly sustained damages in connection with the real estate securities purchased in 2022. As a result, the client requested compensation from Great Point Capital or Marshall. BrokerCheck shows that this arbitration is pending a resolution.
Also, McDermott Investment Services LLC disaffiliated with Marshall on March 17, 2017. Allegedly, Marshall did not obtain the firm’s prior permission for outside business activities and did not respond to several compliance inquiries concerning those activities.
Outside business activities are work or commercial ventures conducted away from a broker’s employing firm. They can include second jobs, consulting, board service, private companies, or other paid or unpaid roles. Brokerage firms typically require advance disclosure and approval so they can assess conflicts, supervision requirements, and potential regulatory risks.
Are you concerned about investments you made through Timothy Marshall? You should contact Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for hundreds of investors throughout the country. Also, our securities lawyers work on a contingency fee arrangement and advance all costs. Marshall and brokerage firms Marshall worked for deny allegations of sales practice violations.
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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