Sean Sullivan – Former Aegis Capital Broker- Fired for Allegations of Unauthorized Trading -Melville, NY

Sean Sullivan – Former Aegis Capital Broker- Fired for Allegations of Unauthorized Trading -Melville, NY

Sean Sullivan – Former Aegis Capital Broker- Fired for Allegations of Unauthorized Trading -Melville, NY 150 150 Robert Rex, Esq.

Sean Sullivan  Investigation

September 2022- Melville, NY

According to publicly available records,  Sean T. Sullivan,  a former Aegis Capital broker discloses  customer disputes and a termination from employment.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In 7/2022 Sullivan was discharged by Aegis Capital, where he had been employed since 11/2015. Aegis Capital makes the following allegation on Sullivan’s FINRA record: “Multiple allegations of unauthorized trading”.

In 8/2022 a customer of Aegis Capital alleged that Sullivan traded their account without the client’s authority and failed to follow instructions. Damages are not yet specified in this currently pending matter.

In 8/2021 one of Sullivan’s clients was paid $14,500 to resolve allegations that he failed to follow instructions. In 4/2021 another Aegis client was paid $145,000 to resolve allegations that Sullivan made unsuitable recommendations and committed elder abuse.

If you have losses in an account handled by Sean Sullivan,  call to learn how you may be able to recover damages through FINRA arbitration.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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Rex Securities Law

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