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I'm Jeff Sonn, an attorney concentrating on securities fraud and consumer class actions. I use this blog to bring attention to regulatory filings involving financial advisors, current events in securities and cases in the financial services industry, and to help investors understand their rights and options for financial recovery. Questions? Contact me online or call anytime at 844-689-5754

Sean Sullivan, Broker with Sovereign Global Advisors, Named in Customer Dispute Alleging Unauthorized Trading

INVESTORS: Sovereign Global Advisors broker Sean Sullivan was named in a customer dispute following allegations of unauthorized trading and failure to follow instructions

Sean Sullivan (CRD: 6283466) is registered as a broker with Sovereign Global Advisors, where he’s been employed since 2022. Sullivan was previously registered as a broker with Aegis Capital Corp. from 2015 until 2022.

Sullivan has four disclosures on his BrokerCheck report. 

August 2022 Customer Dispute

Status: Pending

Allegations: Client alleges unauthorized trading and failure to follow instructions.

July 2022 Employment Separation After Allegations

Firm Name: Aegis Capital Corp.

Termination Type: Discharged

Allegations: Multiple allegations of unauthorized trading.

Broker Comment: The Firm was aware that I was seeking new employment for various reasons, no one in Senior Management, Supervision or Compliance advised of any issues as it relates to unauthorized trading and filed a discharge despite the knowledge of my intended resignation

July 2021 Customer Dispute

Status: Settled

Allegations: Client alleges failure to follow instructions and poor performance

Damage Amount Requested: $17,000.00

Settlement Amount: $14,500.00

Broker Comment: Client never gave a definitive order to sell. Client chose to hold the position.

January 2020 Customer Dispute

Status: Settled

Allegations: Time frame: 6/2017 – 8/2019; Unsuitability, common law fraud, gross negligence, breach of contract, elder abuse.

Damage Amount Requested: $1,079,155.00

Settlement Amount: $145,000.00

Broker Comment: The allegations are absolutely false and without merit. We intend to vigorously fight these untrue allegations and prove our innocence.

The Sonn Law Group is currently investigating allegations surrounding Sean Sullivan. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.

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