Have you lost money with financial advisor Stephen James Sullivan, with Spartan Capital Securities in Garden City, New York?  We are looking into allegations made against Stephen Sullivan. Sullivan has been the subject of an investigation by FINRA.  FINRA is investigating whether Sullivan had been excessively trading or churning customer accounts.  Sullivan has also been the subject of 3 customer complaints, and he was also the subject of a FINRA investigation in 2016.

Stephen Mel Sullivan was with Spartan Capital Securities from November 2019 to the present.  He was also with SW Financial from May 2018 to November 2019.  He has worked at branch offices in Garden City, New York.

Brokerage firms like Spartan Capital Securities have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New York.  Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click here to view Stephen Sullivan BrokerCheck Report

If you lost money with Stephen Sullivan or Spartan Capital Securities, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.