Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 25, 2017 indicate that New York-based Westpark Capital broker Thomas Sullivan has been the subject of customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Sullivan (CRD# 1162751).
Thomas Sullivan has spent 33 years in the securities industry and has been registered with Westpark Capital in New York, New York since 2016. Previous registrations include Quint Capital in New York, New York; Lampert Capital Markets in New York, New York; Hallmark Investments in New York, New York; Clark Dodge & Company in New York, New York; VFinance Investments in Boca Raton, Florida; and First Republic Group in New York, New York. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 3 (National Commodity Futures Examination); and Series 7 (General Securities Representative Examination). He is a registered broker with 15 US states and territories: Arizona, California, Connecticut, Florida, Maryland, Michigan, New Jersey, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, South Carolina, Texas, Virginia.
According to his BrokerCheck report, he has received four customer complaints and one pending customer complaint.
In June 2017 a customer alleged Thomas Sullivan, while employed at Lampert Capital Markets, recommended unsuitable investments, executed excessive activity, and had conflicts of interest. The customer is seeking $11,069 in damages in the pending complaint.
In 2016 a customer alleged Thomas Sullivan, while employed at Lampert Capital Markets, made excessive transactions, recommended unsuitable securities, and excessively charged commission. The complaint settled for $7,000.
In 2014 a customer alleged Thomas Sullivan, while employed at ICM Capital Markets, recommended made an unsuitable product. The complaint resulted in an award to the customer of $35,000.
In 1992 a customer alleged he, while employed at Shearson Lehman Brothers, churned the account, made misrepresentations and omissions of material facts, and recommended unsuitable products. The complaint resulted in an award to the customer of $456,000.
If you have lost money investing with Thomas Sullivan, you may be entitled to recoup your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.