Erez Law is currently investigating LPL Financial LLC broker William Sullivan (CRD# 2288195) related to municipal bond losses. He has been registered with LPL Financial LLC in Harbinger, North Carolina, since 2018.
William Sullivan Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
October 2024. “Customer alleges that investments in mutual funds made from October 2021 to December 2023 were unsuitable for the customer’s investment objectives and risk tolerance.” The case was settled for $120,000.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, LPL Financial LLC may be liable for investment or other losses suffered by William Sullivan’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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