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 |
|---|---|---|---|---|---|---|---|---|
| Scott Jason Hechler | 5277526 | 3 | 03/25/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Morgan Duddy | 2145276 | 4 | 03/21/2024 | Customer Dispute | Withdrawn | $700,000.00 | $0.00 | See FINRA Report |
| John Michael Palma | 6848651 | 3 | 03/11/2024 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Travis J Lippmann | 5908823 | 5 | 03/05/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Daby Benjamine Carreras | 4873706 | 1 | 02/23/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Joseph Stapleton | 2791194 | 16 | 02/16/2024 | Customer Dispute | Withdrawn | $525,000.00 | $0.00 | See FINRA Report |
| Joseph Edward O'Shea | 2805483 | 3 | 02/05/2024 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Robert Nicholas Rotunno | 4025263 | 5 | 01/10/2024 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Joseph Kelly | 4560737 | 3 | 12/09/2022 | Customer Dispute | Closed-No Action | $7,500.00 | $0.00 | See FINRA Report |
| Kim Marie Monchik | 2528972 | 4 | 11/18/2022 | Customer Dispute | Pending | $247,262.00 | $0.00 | See FINRA Report |