Our Staff has compiled our research into a database of FINRA Broker Allegations for Stuart Jay Spivak.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| Stuart Jay Spivak | 1883651 | 9 | 08/02/2024 | Customer Dispute | Pending | $99,999.00 | $0.00 | See Allegations |
| Stuart Jay Spivak | 1883651 | 9 | 05/14/2024 | Customer Dispute | Pending | $150,000.00 | $0.00 | See Allegations |
| Stuart Jay Spivak | 1883651 | 9 | 10/10/2013 | Customer Dispute | Closed-No Action | $68,500.00 | $0.00 | See Allegations |
| Stuart Jay Spivak | 1883651 | 9 | 09/15/2011 | Customer Dispute | Closed-No Action | $121,753.00 | $0.00 | See Allegations |
| Stuart Jay Spivak | 1883651 | 9 | 07/22/2011 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See Allegations |
| Stuart Jay Spivak | 1883651 | 9 | 03/30/2009 | Customer Dispute | Settled | $70,000.00 | $0.00 | See Allegations |
| Stuart Jay Spivak | 1883651 | 9 | 11/19/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| Stuart Jay Spivak | 1883651 | 9 | 06/16/2004 | Customer Dispute | Settled | $200,000.00 | $0.00 | See Allegations |
| Stuart Jay Spivak | 1883651 | 9 | 12/27/2001 | Customer Dispute | Settled | $18,147.00 | $0.00 | See Allegations |