DID SEAN ROBERT SULLIVAN CAUSE YOU INVESTMENT LOSSES?
Sean Sullivan Of National Securities, National Asset Management And Formerly With Voya Financial Advisors And Securities America Has 2 Customer Complaints For Alleged Broker Misconduct
Who is Sean Sullivan of National Securities?
Sean Sullivan (CRD #4769711) who is currently registered with National Securities, National Asset Management and located in South Norwalk, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to National Securities and National Asset Management, Sean Sullivan was associated with Voya Financial Advisors, Securities America and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Sean Sullivan Customer Complaints
Sean Sullivan has been the subject of 2 customer complaints that we know about. One of Sean Sullivan’s 2 customer complaints was settled in favor of investors. One of Sean Sullivan’s customers’ complaints was denied and, to date, the customer has not taken any further action.
Allegations Against Sean Sullivan
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Claimant alleged that the representative, Sean Sullivan recommended and sold him investments in REITs and a variable annuity that were unsuitable. Additional allegations included misrepresentation, overconcentration in illiquid investments, and negligence.
- Alleged unauthorized trading by Sean Sullivan.
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 National Securities, National Asset Management, Voya Financial Advisors, and Securities America 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 National Securities, National Asset Management, Voya Financial Advisors, and Securities America also 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.
File A Claim To Recover Your Investment Losses At National Securities Due To Sean Sullivan
If you have questions about National Securities, National Asset Management, Voya Financial Advisors, Securities America, 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.