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Sean Sullivan Of Sovereign Global Advisors LLC And Formerly With Spartan Capital Securities, LLC and Aegis Capital Corp. Has 7 Customer Complaints For Alleged Broker Misconduct

Who is Sean Sullivan of Sovereign Global Advisors LLC?

Sean Sullivan

Sean Sullivan (CRD #6283466) who is currently registered as a broker with Sovereign Global Advisors LLC and located in Denver, Colorado, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Sovereign Global Advisors LLC, Sean Sullivan was associated with Spartan Capital Securities, LLC, Aegis Capital Corp. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Sean Sullivan was recently terminated by Aegis Capital Corp. for his alleged misconduct involving unauthorized trading and multiple accounts.

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Sean Sullivan Customer Complaints

Sean Sullivan has been the subject of at least 7 customer complaints that we know about recovering investment losses. Three of the customer complaints have been settled by Aegis Capital Corp. in favor of the investors. One customer complaint was withdrawn by the customer. There are 3 FINRA arbitrations still pending for Sean Sullivan’s alleged misconduct while employed at Aegis Capital Corp.

Allegations Against Sean Sullivan

The allegations made in the FINRA reported in the multiple arbitration claim settlements and/or pending complaints for investment losses were unauthorized trading, excessive trading, unsuitable investment recommendations, fraud, and negligence.

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 Sovereign Global Advisors LLC, Spartan Capital Securities, LLC and Aegis Capital Corp. 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 Sovereign Global Advisors LLC, Spartan Capital Securities, LLC and Aegis Capital Corp. 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.

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 Sovereign Global Advisors LLC Due To Sean Sullivan

If you have questions about Sovereign Global Advisors LLC, Spartan Capital Securities, LLC, Aegis Capital Corp. 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.

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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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