(CRD #6283466, Medford, New York)

September 23, 2025 – Sean Sullivan was named a respondent in a FINRA complaint alleging that he placed unauthorized trades in four customers’ accounts. The complaint alleges that stock purchases Sullivan executed totaled $196,754, plus total commissions of $2,110, and other costs in the accounts. Sullivan also executed stock sales totaling $57,398, plus total commissions of $522, and other costs in the accounts. Sullivan did not communicate with any of the customers before executing the trades. Further, the customers’ accounts were not discretionary, and none of the customers authorized Sullivan to exercise discretion in their accounts. All of the customers complained to Sullivan’s member firm about the trades, and the firm cancelled and reversed the trades for three of the customers. The fourth customer closed his account with the firm and transferred his holdings to another broker-dealer and then complained about the trades to a state regulator. The complaint also alleges that Sullivan willfully failed to timely amend his Uniform Application for Securities Industry Registration or Transfer (Form U4) to disclose a material event. The event was a material fact that a reasonable employer, customer, prospective customer, or regulator would have viewed as relevant to Sullivan’s business and employment. (FINRA Case #2022075569401) If you have suffered losses as a result of Sean Sullivan's act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Sean Sullivan. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-330-6706 or email Matthew Schwartz directly at mschwartz@tslfirm.com.