Stephen Sullivan – Financial Advisor/Broker Stephen Sullivan Previously Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Stephen Sullivan CRD #3123249
Stephen Sullivan is a currently licensed financial advisor with SW Financial. Stephen Sullivan was previously licensed with Worden Capital Management LLC, Newbridge Securities Corporation and Wilmington Capital Securities, LLC.
According to FINRA, Stephen Sullivan was previously suspended from the securities industry for ten days and fined $5,000 in March 2016.
According to FINRA Allegations:
Stephen Sullivan consented to the sanctions and to the entry of findings that Stephen Sullivan exercised discretion in the accounts of two separate customers without obtaining prior written authorization from Stephen Sullivan’s customers to exercise discretion in their accounts and Stephen Sullivan’s member firm did not approve these accounts for discretionary trading. The findings stated that Stephen Sullivan discussed potential transactions with these customers but exercised Stephen Sullivan’s discretion in executing those transactions on future dates.
Goodman & Nekvasil, P.A. May Recover Investor Losses:
If you lost money on investments with Stephen Sullivan and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Stephen Sullivan’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Stephen Sullivan and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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