DID THOMAS ANDREW SULLIVAN JR CAUSE YOU INVESTMENT LOSSES?
About Thomas Sullivan, Jr. Formerly With UBS Financial Services Inc.?
Thomas Sullivan, Jr. (CRD #1061691) has an extensive background in the securities industry, primarily working with major firms like UBS Financial Services and Morgan Stanley. His tenure at UBS spanned from April 2008 to January 2021, preceded by almost a year at Morgan Stanley & Co. Incorporated and a long stint at Morgan Stanley DW Inc. from September 1982 to April 2007. Sullivan is no longer registered as a broker but has passed three general industry/product exams, two multi-state securities law exams, and one principal/supervisory exam, demonstrating a broad and comprehensive understanding of financial and regulatory practices.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Thomas Sullivan, Jr. Customer Complaints and Reviews
Thomas A. Sullivan Jr. has had one customer dispute reported:
- Customer Dispute (Settled): The complaint was filed on November 12, 2020, alleging that Sullivan failed to follow instructions regarding the sale of equities and the purchase of mutual funds. The claim initially sought damages of $200,000; however, it was settled for $13,529.43 on December 18, 2020. Sullivan did not contribute personally to the settlement amount.
Allegations Against Thomas Sullivan, Jr.
- Failure to Follow Instructions: This accusation involved Sullivan allegedly selling the incorrect equity and not purchasing mutual funds as directed by the client’s husband, who had the authority to instruct on the account. The incident led to a financial discrepancy and was eventually settled to resolve the complaint, with the firm electing to settle for a significantly lower amount than the damages sought.
Thomas Sullivan, Jr. Red Flags & Your Rights As An Investor
Of course, Thomas Sullivan, Jr. did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Thomas Sullivan, Jr. at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Thomas Sullivan, Jr. has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Thomas Sullivan, Jr.
If you have questions about UBS Financial Services Inc. and/or Thomas Sullivan, Jr. and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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