{"id":11865,"date":"2026-01-15T12:15:14","date_gmt":"2026-01-15T17:15:14","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11865"},"modified":"2026-01-15T12:15:14","modified_gmt":"2026-01-15T17:15:14","slug":"broker-sean-t-sullivan-cited-by-finra-for-unauthorized-trading-allegations","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/broker-sean-t-sullivan-cited-by-finra-for-unauthorized-trading-allegations\/","title":{"rendered":"Broker Sean T. Sullivan Cited By FINRA For Unauthorized Trading Allegations"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-11866 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2026\/01\/Blog-Graphics22.png\" alt=\"Sean T. Sullivan (CRD#: 6283466) is a previously registered broker last employed with Sovereign Global Advisors LLC of Denver, Colorado. His previous employers were Spartan Capital Securities, LLC (CRD#:146251) of Garden City, New York, Aegis Capital Corp. (CRD#:15007) of Melville, New York, and Joseph Stone Capital L.L.C. (CRD#:159744) of Hauppauge, New York. He has been in the industry since 2014.\n\nSullivan\u2019s CRD contains 11 disclosures, including 9 customer disputes. The most recent disclosure is a disciplinary action by FINRA related to Sullivan\u2019s time at Aegis. During his tenure at Aegis, Sullivan placed 14 unauthorized trades in the non-discretionary accounts of four customers, who were all over the age of 60 and had a collective account value of $250,000. He neither contacted these customers nor obtained their permission to make these transactions on their behalf. The firm reversed the trades for three of the customers while the fourth filed a complaint with a state regulator, closed his account and transferred his holdings to a different broker-dealer. The FINRA disciplinary action is currently \u201cpending.\u201d\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2026\/01\/Blog-Graphics22.png 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2026\/01\/Blog-Graphics22-180x120.png 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Sean T. Sullivan (CRD#: <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/6283466\" target=\"_blank\">6283466<\/a>) is a previously registered broker last employed with Sovereign Global Advisors LLC of Denver, Colorado. His previous employers were Spartan Capital Securities, LLC (CRD#:146251) of Garden City, New York, Aegis Capital Corp. (CRD#:15007) of Melville, New York, and Joseph Stone Capital L.L.C. (CRD#:159744) of Hauppauge, New York. He has been in the industry since 2014. <a href=\"https:\/\/www.silverlaw.com\/blog\/broker-sean-t-sullivan-cited-by-finra-for-unauthorized-trading-allegations\/#more-11865\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Sean T. Sullivan (CRD#: 6283466) is a previously registered broker last employed with Sovereign Global Advisors LLC of Denver, Colorado. His previous employers were Spartan Capital Securities, LLC (CRD#:146251) of Garden City, New York, Aegis Capital Corp. (CRD#:15007) of Melville, New York, and Joseph Stone Capital L.L.C. (CRD#:159744) of Hauppauge, New York. He has been [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577,580],"tags":[],"class_list":["post-11865","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Sean T. Sullivan Cited By FINRA For Unauthorized Trading Allegations<\/title>\n<meta name=\"description\" content=\"Sean T. Sullivan is a previously registered broker last employed with Sovereign Global Advisors LLC of Denver, Colorado.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/broker-sean-t-sullivan-cited-by-finra-for-unauthorized-trading-allegations\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Sean T. Sullivan Cited By FINRA For Unauthorized Trading Allegations\" \/>\n<meta name=\"twitter:description\" content=\"Sean T. Sullivan is a previously registered broker last employed with Sovereign Global Advisors LLC of Denver, Colorado.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2026\/01\/Blog-Graphics22.png\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Sean T. Sullivan Cited By FINRA For Unauthorized Trading Allegations","description":"Sean T. 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Sullivan is a previously registered broker last employed with Sovereign Global Advisors LLC of Denver, Colorado.","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2026\/01\/Blog-Graphics22.png","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/broker-sean-t-sullivan-cited-by-finra-for-unauthorized-trading-allegations\/","url":"https:\/\/www.silverlaw.com\/blog\/broker-sean-t-sullivan-cited-by-finra-for-unauthorized-trading-allegations\/","name":"Sean T. 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