Did you incur investment losses with David Sullivan?
The Securities Law Firm of Menzer & Hill, P.A. is investigating claims involving David Sullivan (“Sullivan”) formerly of JP Morgan related to his alleged discretionary trading without written authorization.
Sullivan was suspended and fined by FINRA.
Fortunately, for those investors that incurred losses investing with Sullivan may be able to recover those losses through the FINRA arbitration process.
Under FINRA rules and regulations, Broker-Dealers are responsible for supervising the actions of those advisors registered with their firm, and therefore may be held liable for the actions of their Broker(s).