Fleming Financial’s Sean Fleming: $483K Award in Investor Complaint

A recent investor complaint against Mesa, Arizona financial advisor Sean Fleming (CRD# 6516544) resulted in a six-figure award to the customer. Records provided by the Securities and Exchange Commission show that he is currently registered as an investment advisor with Fleming Financial Services.

Mr. Fleming’s BrokerCheck report discloses multiple investor complaints. The most recent, filed in January 2023, alleged that as a representative of Fleming Financial Services, he recommended an investment that later failed, breached his fiduciary duty, acted negligently, breached contract, and violated Arizona investment law. The complaint evolved into an arbitration proceeding which issued an award to the customer of $483,333.33.

An earlier investor complaint, filed in 2022, similarly alleged that he recommended a private placement investment that failed. The complaint reached a settlement of $200,000.

A third investor complaint, filed in 2022, alleged that as a Fleming Financial Services representative, he recommended unsuitable investments in a private placement that failed and two indexed annuities, breached contract, violated Arizona securities law, engaged in negligence, and breached his fiduciary duty. The complaint reached a settlement of $80,000.

A fourth investor complaint, filed in 2022, alleged that he recommended an unsuitable private placement “that later failed.” The complaint reached a settlement of $200,000.

According to the Securities and Exchange Commission, Sean Fleming holds six years of securities industry experience. Based in Mesa, Arizona, he has been an investment advisor with Fleming Financial Services since 2018; he was previously registered with the firm in Gilbert, Arizona in 2016. His credentials include the passage of the Uniform Investment Adviser Law Examination and he is licensed in Arizona. (Information current as of April 30, 2023.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.