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 |
|---|---|---|---|---|---|---|---|---|
| Joseph F Rossetti | 5324812 | 1 | 03/19/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ralph Edward Metz | 4687011 | 2 | 04/21/2018 | Customer Dispute | Denied | $500,000.00 | $0.00 | See FINRA Report |
| Travis J Lippmann | 5908823 | 5 | 05/30/2017 | Customer Dispute | Denied | $34,000.00 | $0.00 | See FINRA Report |
| MacK Leon Miller | 2822317 | 8 | 05/18/2017 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Shoug Mayson | 5634302 | 7 | 03/09/2016 | Customer Dispute | Denied | $9,881.00 | $0.00 | See FINRA Report |
| Shoug Mayson | 5634302 | 7 | 02/22/2016 | Customer Dispute | Denied | $20,734.00 | $0.00 | See FINRA Report |
| James Robert Pecoraro | 2440231 | 19 | 09/08/2002 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Louis Ward | 2080639 | 5 | 08/08/2001 | Customer Dispute | Denied | $125,000.00 | $0.00 | See FINRA Report |