RedFlag, Allegation and/or Complaint against KATHERINE LYNN SULLIVAN
Disclosure #1 for KATHERINE SULLIVAN
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- Event Date: 7/15/2004
- Disclosure Type: Criminal
- Resolution: Final Disposition
- Criminal Charges :: Charges: THEFT BY CHECK – I HAD A FEW BOUNCED CHECKS WITH WALMART. PAYMENT WAS MADE TO THE COURT AND THE CHARGES WERE DISMISSED.
- Disposition: Dismissed
- Broker Comment: CHECKS WERE WRITTEN DURING A PERIOD OF TIME WHEN I WAS NOT FINANCIALLY STABLE. I HAD A NEWBORN AND A 15 MONTH OLD, NO HOUSE, AND WAS TRYING TO KEEP EVERYTHING TOGETHER. WHEN I WAS FINALLY ABLE TO GET ON MY FEET, I PAID OFF MY DEBT.
Should I file a FINRA complaint against brokers like KATHERINE LYNN SULLIVAN?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
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Originally reported on November 17, 2022 @ 9:11 pm
