Our Staff has compiled our research into a database of FINRA Broker Disclosures for Spartan Capital Securities, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Nicholas James Schiano | 4429212 | 8 | 12/12/2022 | Customer Dispute | Pending | $72,421.40 | $0.00 | See FINRA Report |
| Joseph Kelly | 4560737 | 5 | 12/09/2022 | Customer Dispute | Closed-No Action | $7,500.00 | $0.00 | See FINRA Report |
| Michael Joseph Dugan | 2824966 | 7 | 12/06/2022 | Customer Dispute | Pending | $258,964.00 | $0.00 | See FINRA Report |
| Harold Steve Jones | 4333409 | 4 | 12/06/2022 | Customer Dispute | Pending | $40,815.90 | $0.00 | See FINRA Report |
| Ronald G Smith | 6038062 | 2 | 12/06/2022 | Customer Dispute | Pending | $66,430.60 | $0.00 | See FINRA Report |
| Jose Luis Valdez | 2926686 | 8 | 11/14/2022 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| James Robert Pecoraro | 2440231 | 19 | 10/26/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joao Amorim Pinto | 6298233 | 1 | 10/07/2022 | Customer Dispute | Pending | $268,386.00 | $0.00 | See FINRA Report |
| Justin Ray Deiter | 5225102 | 6 | 08/24/2022 | Customer Dispute | Pending | $104,723.00 | $0.00 | See FINRA Report |
| James Robert Pecoraro | 2440231 | 19 | 08/04/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |