Articles Tagged with Sean Sullivan

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Sullivan (Sullivan), previously associated with Sovereign Global Advisors LLC, 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 $360,000.00 on May 29, 2025.

Time frame: 2018. Claimant alleges unsuitable investment, breach of fiduciary duty, misrepresentation, breach of contract.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Sullivan (Sullivan), previously associated with Sovereign Global Advisors LLC, has at least 3 disclosable events. These events include 3 customer complaints, 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 October 17, 2024.

Time frame: Unspecified. Claimants allege breach of fiduciary duty, breach of contract, and elder abuse.