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 |
|---|---|---|---|---|---|---|---|---|
| Joao Amorim Pinto | 6298233 | 2 | 11/21/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Robert Pecoraro | 2440231 | 19 | 10/26/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Robert Pecoraro | 2440231 | 19 | 08/04/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Nicholas Rotunno | 4025263 | 5 | 12/01/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kim Marie Monchik | 2528972 | 4 | 10/19/2021 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| John Dennis Lowry | 4336146 | 12 | 10/19/2021 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| MacK Leon Miller | 2822317 | 8 | 04/09/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Louis Ward | 2080639 | 5 | 12/09/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Pace | 2481049 | 9 | 12/03/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joey Giamichael | 3248158 | 5 | 07/25/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |