Mr. Sullivan has 40 years industry experience as a Manager, arbitrator, and expert witness. He has been approved as an expert for FINRA, and in US Civil Courts in NY, MA, TX and RI. His expertise includes Suitability, Senior Investment Disputes, Supervision, Derivatives, Annuities, Employment Disputes and Trust matters, which are some, but not all, issues of his prior testimony experience. References upon request.
Securities Experts Roundtable Member Profile
INDUSTRY EXPERIENCE AND QUALIFICATIONS:
Merrill Lynch & Company:
1971 ML Account Executive, Rockefeller Center, New York City
1978 ML Sales Manager, 300 Park Avenue, New York City
1981 ML Resident Manager, Short Hills, New Jersey
1982 ML Sales Manager, Philadelphia Offices, Group of Six Branches
1983 ML Resident Vice President, Branch Manger, Albany, New York
1988 ML Senior Resident Vice President, Branch Manager, 200 Park Avenue, New York City
1995 ML District Sales Manager, NY-CT-MA, Directed Training for Financial Consultants NY-CT‐MA
1998-‐2001 ML Managing Director, Branch Manager, Springfield and Wester Massachusetts
2001-‐2005 Western New England University School of Business, Springfield, Massachusetts, Professor of Business, Investments and Finance
2005 University of Rhode Island Business School, Kingston, Rhode Island
2008 Securities Experts Roundtable Annual Conference Training
2007 FINRA Advanced Arbitrator Training Courses 2007-‐ ongoing
2007 NASD Revised Code of Arbitration Course
2004 NASD Chairperson Training
2003 NYSE Course on Arbitration and Timely Topics
1996 NASD Labor and Employment Law Training 2
Certified Financial Manager. NYSE Series 8, 7, 63, 65 Licenses. NYSE and NASD Management Licenses. CBOE Options Principals License. CFTC and CBT Commodoties and Futures Licenses including Currencies. Merrill Lynch Branch Office Supervision and Compliance Training and Qualifications, NY Real Estate License. NY Insurance Licenses for Life, Health, Accident, Property, Casualty and Liability Insurance and Annuities.
ACTIVITIES AND ACHIEVEMENTS:
FINRA Arbitrator #9202, 1992-Present.
Qualified as Chairperson Total of 22 Decisions to Date.
NYSE and ML Audits Clear for Compiance and Operations.
NYSE Industry Arbitrator, 2002-‐2007
Merged with NASD (FINRA). U4
Record Free of Violations and Judgments.
Chicago Board of Trade “Ethics Hall of Fame.”
Expert Witness Roundtable 2005
Board of Directors, Better Business Bureau of Metropolitan New York, 1992 ‐ 1995 Rated #1 in USA in 1995.
Expert Witness: January 2002-Present.
References on Request.
Guest Commentator 2007 COMMODITYCLASSICS.COM Derivative Issues.
Qualified and Served as Expert in: NY, NJ, PA, FL, TX, MD, CT, MA, RI, CA, AL
FINRA, State and Federal Civil Courts.
1961 Providence College, Warwick, Rhode Island – BA (Cum Laude)
1965 Catholic University of America, Washington, DC – MA