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FINRA Awards for John Sullivan

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0260302/16/2023Claimant(s): Estate of Gloria Elizondo Altamirano
Claimant Lawyers(s): Robert H. Rex
Respondent(s): LPL Financial LLC, Jose Cruz
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Brian James Tagtmeier, Stephen Andrew McCarthy, John Donahue Sullivan
Hearing Site: Houston, TX
Checkmark IconExpungement
09-0085401/28/2010Claimant(s): Geraldine Kolikow Ttee F/B/O Kolikow Tr
Claimant Lawyers(s): Carlos H. Gamez
Respondent(s): John Sullivan, H&R Block Financial Advisors.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Elena G. Rodriguez, George H. Rausch, James Conrad Sankpill
Hearing Site: Miami, FL
Checkmark IconExpungement

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