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 |
|---|---|---|---|---|---|---|---|---|
| Michael Joseph Russo | 3072489 | 15 | 07/17/2013 | Customer Dispute | Closed-No Action | $23,000.00 | $0.00 | See FINRA Report |
| John Dennis Lowry | 4336146 | 11 | 06/28/2013 | Customer Dispute | Closed-No Action | $17,288.60 | $0.00 | See FINRA Report |
| Michael Joseph Dugan | 2824966 | 7 | 06/11/2013 | Customer Dispute | Closed-No Action | $93,930.90 | $0.00 | See FINRA Report |
| Marc Anthony Arena | 2754309 | 7 | 05/10/2013 | Customer Dispute | Settled | $77,000.00 | $0.00 | See FINRA Report |
| Tory A Duggins | 4556340 | 12 | 05/01/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Nicholas Cassese | 1925159 | 4 | 02/05/2013 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| William Howard Coons | 2049465 | 6 | 01/31/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tory A Duggins | 4556340 | 12 | 09/14/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Joseph Stapleton | 2791194 | 14 | 07/03/2012 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Dugan | 2824966 | 7 | 05/15/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |