SUSAN MARY SULLIVAN is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 404 NORTH 31ST STREET, STE 300, BILLINGS, MT, 59101-1211.
SUSAN MARY SULLIVAN has worked at RBC CAPITAL MARKETS, LLC since August 29, 2013
Disclosure History
SUSAN MARY SULLIVAN has 1 Disclosure Event(s).
Date: February 15, 1996 Category: Customer Dispute Allegations: THESE WERE TWO SIMPLIFIED ARBITRATIONS THAT WERE CONSOLIDATED INTO ONE MATTER. THE CUSTOMERS ALLEGED THAT AN UNSUITABLE STOCK RECOMMENDATION WAS MADE AND THE USE OF A STOP LOSS ORDER WAS NEVER SUGGESTED AS THE STOCK DECLINED. Damage Amount Requested: $8,106.06 Settlement Amount: $1,980.63 Broker Comment: FOR CASE 95-05818 ALL ALLEGATIONS OF WRONGDOING WERE DENIED AND IT IS BELIVED THAT THE CLAIMANTS MADE PROPERLY INFORMED INVESTMENT DECISIONS. FOR CASE 95-05821 CLAIMANT WAS AWARDED $1,980.63.
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