WILLIAM GREGORY SULLIVAN is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 540 W MADISON ST, CHICAGO PBIG, CHICAGO, IL, 60661.
WILLIAM GREGORY SULLIVAN has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since December 07, 2012
Disclosure History
WILLIAM GREGORY SULLIVAN has 2 Disclosure Event(s).
Date: February 01, 1990 Category: Customer Dispute Allegations: PLAINTIFFS SOUGHT RELIEF IN A FAILED REALESTATE VENTURE IN WHICH THEIR COLLECTIVE INVESTMENT OF $400,000WAS LOST. Damage Amount Requested: $400,000.00 Broker Comment: A NEGOTIATED SETTLMENT WAS REACHED WHEREIN I,ALONG WITH OTHER DEFENDANTS, PAID THE PLAINTIFFS $20,000 IN 4INSTALLMENTS OF $5,000 PER ANNUM. THE TOTAL $20,000 WAS PAIDIN FULL AS OF JAN 2, 1997, AND PERTINENT SECURITY AGREEMENTSWERE TERMINATED ON MARCH 7, 1997.THIS CIVIL ACTION WAS SETTLED AMICABLY BETWEENTHE PLAINTIFFS AND DEFENDANT IN A PRIVATE MANNER WITH NO COURTORDERS, ACTIONS, OR JUDGEMENTS. THE MATTER, AS OF MARCH 7,1997 WAS FULLY SETTLED AND TERMINATED.
Date: December 27, 1989 Category: Regulatory Initiated By: MICHIGAN Allegations: FAILURE TO PAY THE BALANCE OF THE $30 1989 RENEWAL FEE, IN THE AMOUNT OF $15. Resolution: Order SanctionDetails: Sanctions: Revocation/Expulsion/Denial Sanction Details: WILLIAM SULLIVAN'S REGISTRATION WAS REVOKED DUE TO THE FAILURE TO PAY THE BALANCE OF THE $30 1989 RENEWAL FEE, IN THE AMOUNT OF $15. Broker Comment: Not Provided
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