The Financial Industry Regulatory Authority (FINRA) recently barred Mark A. Bullivant from the securities industry after he allegedly failed to respond to the investigation against him. FINRA was investigating him for stealing funds from clients and converting that money. Bullivant was a registered representative with Morgan Stanley in Purchase, New York from October 2001 until April 2005, Chase Investment Services in Chicago, Illinois from July 2005 until July 2005, Ameriprise Advisor Services in Fort Myers, Florida from July 2005 until October 2009, and Raymond James & Associates, also in Ft. Myers from April 2012 until December 2013. He has two customer disputes against him, and has been permanently barred from the industry. You may sue Raymond James & Associates, his former firm, for investment losses you may have suffered with Mark A. Bullivant. They had a duty to reasonably supervise him while he worked for them. 312-332-4200.
Disclaimer
The posting on this site are mere OPINIONS and NOT statements of fact in any way whatsoever. The information should not be relied upon and there have been no findings made against the firms or individuals referenced on this site. In addition, this Blog is made available for educational purposes only and incorporates information from the web as well as to give you general information and a general understanding of the law, not to provide specific legal advice. By using this blog site you understand that there is no attorney client relationship between you and Stoltmann Law Offices (161 N Clark Street 16th Floor Chicago, IL 60601). The Blog opinions should not be used as a substitute for competent legal advice from a licensed professional attorney in your state.
PLEASE NOTE THIS IS ADVERTISING AND IT IS NOT A NEWSPAPER ARTICLE OR POST FROM AN INDEPENDENT OR NON-BIASED, NEWS SITE, NEWS SOURCE OR NEWSPAPER.
