Securities Lawyers Blog
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker John Sullivan (Sullivan), previously associated with Trustmont Financial Group, INC., has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Sullivan concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.
FINRA BrokerCheck shows a pending customer complaint on July 15, 2024.
Misrepresentation- sold high commissions, risky, alternative investments
