Our Staff has compiled our research into a database of FINRA Broker Allegations for Thomas Daniel Sullivan.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| Thomas Daniel Sullivan | 1162751 | 9 | 10/10/2022 | Customer Dispute | Award / Judgment | $10,900,000.00 | $0.00 | See Allegations |
| Thomas Daniel Sullivan | 1162751 | 9 | 11/15/2016 | Customer Dispute | Settled | $23,616.00 | $0.00 | See Allegations |
| Thomas Daniel Sullivan | 1162751 | 9 | 01/27/2014 | Customer Dispute | Award / Judgment | $50,000.00 | $35,000.00 | See Allegations |
| Thomas Daniel Sullivan | 1162751 | 9 | 12/22/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| Thomas Daniel Sullivan | 1162751 | 9 | 04/04/2001 | Customer Dispute | Closed-No Action | $11,129.00 | $0.00 | See Allegations |
| Thomas Daniel Sullivan | 1162751 | 9 | 01/01/1993 | Customer Dispute | Settled | $200,000.00 | $0.00 | See Allegations |
| Thomas Daniel Sullivan | 1162751 | 9 | 01/09/1992 | Customer Dispute | Award / Judgment | $286,051.00 | $456,000.00 | See Allegations |