Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Sullivan Jr. (Sullivan Jr.), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Sullivan Jr. recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $200,000.00 on November 12, 2020.
Time Frame: November 2, 2020 to November 12, 2020 What were the allegations against the individual? The client’s husband who had authority to complain alleges the Financial Advisor failed to follow instructions and sold the incorrect equity. The client’s husband further alleges the Financial Advisor failed to purchase Mutual Funds as instructed.