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 |
|---|---|---|---|---|---|---|---|---|
| MacK Leon Miller | 2822317 | 8 | 04/20/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Justin Ray Deiter | 5225102 | 6 | 03/31/2017 | Customer Dispute | Closed-No Action | $65,617.00 | $0.00 | See FINRA Report |
| Louis Ward | 2080639 | 5 | 03/24/2017 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| John Joseph Stapleton | 2791194 | 14 | 02/06/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Joseph Stapleton | 2791194 | 14 | 01/03/2017 | Customer Dispute | Award / Judgment | $48,223.30 | $20,600.00 | See FINRA Report |
| William Howard Coons | 2049465 | 6 | 12/20/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Russo | 3072489 | 15 | 12/20/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jose Luis Valdez | 2926686 | 8 | 12/14/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sebastian G Bongiovanni | 4398600 | 6 | 12/06/2016 | Customer Dispute | Settled | $185,000.00 | $0.00 | See FINRA Report |
| John Dennis Lowry | 4336146 | 11 | 12/05/2016 | Customer Dispute | Award / Judgment | $721,070.00 | $210,000.00 | See FINRA Report |