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 |
|---|---|---|---|---|---|---|---|---|
| Tory A Duggins | 4556340 | 12 | 10/05/2016 | Customer Dispute | Award / Judgment | $50,000.00 | $26,127.00 | See FINRA Report |
| Harold Steve Jones | 4333409 | 4 | 10/03/2016 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Christopher J. Dallas | 6184479 | 2 | 08/24/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Marc Anthony Arena | 2754309 | 7 | 06/27/2016 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| John Joseph Stapleton | 2791194 | 14 | 05/10/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Joseph Russo | 3072489 | 15 | 04/29/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Florence Marie Simeon | 1422241 | 2 | 04/27/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sebastian G Bongiovanni | 4398600 | 6 | 04/21/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kim Marie Monchik | 2528972 | 3 | 04/06/2016 | Customer Dispute | Award / Judgment | $41,842.00 | $41,842.00 | See FINRA Report |
| John Dennis Lowry | 4336146 | 11 | 04/06/2016 | Customer Dispute | Award / Judgment | $41,842.00 | $41,842.00 | See FINRA Report |