Articles Tagged with Michael Sullivan

Broker Michael Sullivan in Morgan Stanley Firm Has Customer Complaint

June 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Sullivan (Sullivan), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Sullivan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on April 29, 2026.

Client alleges, inter alia, that covered call option strategy was misrepresented and not suitable for her 2025

There are Recent Customer Complaints with Broker Michael Sullivan in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Sullivan (Sullivan), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Sullivan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $25,650.00 on October 03, 2025.

Client alleges misrepresentation of fees.