Michael Patrick Sullivan (CRD#2948744) and OSAIC WEALTH, INC.

If your broker hurt your retirement, you may be able to recover

If you were a client of this investment advisor, the securities lawyers at Halling & Cayo, S.C. would like to hear from you. We are analyzing potential claims related to the suitability of investments recommended by this broker.

If a customer makes a complaint regarding a broker, it must be reported to the appropriate regulatory bodies, ensuring that a record of the dispute is available to the public.

Claim(s) Made Against Michael Patrick Sullivan:

Claim Date: 8/6/2026

“Customer alleges negligence and supervisory failures concerning Roth IRA recommendations, by his financial professional, from 2017 through 2025. Customer alleges recommendations were unsuitable for his specific financial and tax situation resulting in tax liabilities and related damages.”

This claim, as of this posting, is currently Pending with a claim amount of $5,000.00 .

See more information on FINRA’s BrokerCheck site for Michael Patrick Sullivan.

Did you have an investment issue with Michael Patrick Sullivan?

If you were a customer of Michael Patrick Sullivan and OSAIC WEALTH, INC. from NORTH HAVEN, CT and had a similar issue or experience as those described in the above public postings, we are interested in discussing a potential claim with you. Brokerage firms have a responsibility to supervise all representatives who are registered through their firm. (See our video, Warning signs of a bad financial advisor). Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. The brokerage firm is not only legally responsible for the acts of its agents, like Michael Patrick Sullivan, the broker dealer may also be liable for investment losses sustained by customers for a failure to supervise. The Securities Lawyers at Halling & Cayo, S.C. have recovered millions of dollars for investors across the country.

Recovery can often depend on finding a lawyer that “specializes in securities complaints” as the SEC reminds investors. (See more information in our video, How to file a complaint against a Financial Advisor.) If you are a former customer of Michael Patrick Sullivan and OSAIC WEALTH, INC. and have incurred investment losses, please contact the Securities Lawyers. You may be entitled to financial compensation, and we work on a contingency basis, meaning we only get paid if we recover your money. Please note that there may be time limits or statutes of limitations that apply to your claim, so it is important to act quickly and speak with an attorney as soon as possible.
Learn about potential claims for investment recovery, Types of Broker Misconduct and Fraud , or about the FINRA arbitration process, Guide to the FINRA Arbitration Process .

Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.

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