DID SEAN T. SULLIVAN CAUSE YOU INVESTMENT LOSSES?
Sean Sullivan Of Aegis Capital And Formerly With Joseph Stone Capital Has A Customer Complaint For Alleged Broker Misconduct
Who is Sean Sullivan of Aegis Capital?
Sean Sullivan (CRD #6283466) who is currently registered with Aegis Capitaland located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Sean Sullivan was associated with Joseph Stone Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Sean Sullivan Customer Complaint
Sean Sullivan has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were unsuitable investment recommendations, common law fraud, gross negligence, breach of contract, elder abuse. Sean Sullivan’s customer complaint was settled in favor of the investors.
Sean Sullivan Red Flags & Your Rights As An Investor
Of course, Sean 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 Sean Sullivan at Aegis Capital and Joseph Stone Capital on alert to review carefully the activity and performance of their accounts and question whether Sean Sullivan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital and Joseph Stone Capital also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
File A Claim To Recover Your Investment Losses At Aegis Capital Due To Sean Sullivan
If you have questions about Aegis Capital, Joseph Stone Capital, and/or Sean 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.