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 |
|---|---|---|---|---|---|---|---|---|
| Matthew S Reynolds | 5586933 | 6 | 03/31/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| George Christopher Tsiorvas | 2562365 | 6 | 01/14/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew S Reynolds | 5586933 | 6 | 12/10/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Tory A Duggins | 4556340 | 12 | 11/10/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marc Anthony Arena | 2754309 | 7 | 07/28/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| MacK Leon Miller | 2822317 | 8 | 07/21/2014 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| MacK Leon Miller | 2822317 | 8 | 05/26/2014 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jesse D Krapf | 5467277 | 4 | 05/01/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peter Guerrero | 4966948 | 1 | 04/17/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Joseph Stapleton | 2791194 | 14 | 04/16/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |