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 | 6 | 04/12/2019 | Customer Dispute | Settled | $208,000.00 | $0.00 | See FINRA Report |
| Joseph F Rossetti | 5324812 | 1 | 03/19/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Nicholas Rotunno | 4025263 | 5 | 03/14/2019 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| James Robert Pecoraro | 2440231 | 19 | 02/18/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Jesse D Krapf | 5467277 | 5 | 10/10/2018 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Joseph Kelly | 4560737 | 3 | 09/27/2018 | Customer Dispute | Settled | $1,082,640.00 | $0.00 | See FINRA Report |
| Ralph Edward Metz | 4687011 | 2 | 04/21/2018 | Customer Dispute | Denied | $500,000.00 | $0.00 | See FINRA Report |
| John Dennis Lowry | 4336146 | 12 | 11/28/2017 | Customer Dispute | Settled | $184,241.00 | $0.00 | See FINRA Report |
| John Dennis Lowry | 4336146 | 12 | 10/23/2017 | Customer Dispute | Settled | $98,974.00 | $0.00 | See FINRA Report |
| Nicholas James Schiano | 4429212 | 6 | 08/28/2017 | Customer Dispute | Settled | $128,541.00 | $0.00 | See FINRA Report |