Frank A Sullivan
37 Whale Rock Road
Jamestown, RI 02835
Work: 401 423-1618
Suitability, Supervision, Employment Disputes, Senior Citizen Finra 2080 Rule Diminished Capacity and Mismanagement. 1031 Exchanges, Expungement, Portfolio P/L Analysis, Annuities, Negligence, Fair Dealing. Fiduciary Rule. Unified Prudent Investor Act of 2004 and Family Estate Dispute Resolution.High Pressure Calls, Limited Partnerships Modern Portfolio Theory and broker compensation issues.
Mr. Sullivan has 35 years industry experience as an Investment Advisor, Certified Investment Manager, FINRA Chair Arbitrator, and Expert Witness.
He Has been approved as expert for FINRA, and in US Civil Courts in NY, MA, TX, PA ,CA , CT and RI.
His expertise includes Suitability, Senior Citizen Investment Disputes, Supervision, Derivatives,
UPIA (Uniform Prudential Investor Act)
Annuities, Employment Disputes and Trust matters, which are some, but not all, issues of his prior testimony experience.
Recently he has specialized in Senior Citizen abuse and fraud cases and given lectures. Testified in PA Civil Court and Chair of a panel with SER in NY.
This includes Fiduciary Duty and cases involving dimished capacity. claims and defence matters.
Reg D filings and Private Placements with the UPIA (UNIFIED PRUDENTIAL INVESTOR ACT OF 2004) has been in his testimony.
He has testified for defendants and claimants.
References upon request. FASulliivan.com