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Mark Sullivan Of Raymond James & Associates, Inc. And Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct

Who is Mark Sullivan of Raymond James & Associates, Inc.?

Mark Sullivan

Mark Sullivan (CRD #2398532) who is currently registered as a broker and investment advisor with Raymond James & Associates, Inc. and located in Alpharetta, Georgia, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James & Associates, Inc., Mark Sullivan was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Mark Sullivan Customer Complaint

Mark Sullivan has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that a loan product was misrepresented and that a prepayment penalty was not disclosed. Morgan Stanley denied the customer complaint, and to date, no further action has been taken.

Mark Sullivan Red Flags & Your Rights As An Investor

Of course, Mark Sullivan did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Mark Sullivan at Raymond James & Associates, Inc. and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Mark Sullivan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates, Inc. and Morgan Stanley raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Raymond James & Associates, Inc.  Due To Mark Sullivan

If you have questions about Raymond James & Associates, Inc., Morgan Stanley and/or Mark Sullivan and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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