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 | 04/28/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Joseph Stapleton | 2791194 | 14 | 04/23/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tory A Duggins | 4556340 | 12 | 02/13/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Joseph Stapleton | 2791194 | 14 | 01/25/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tory A Duggins | 4556340 | 12 | 12/16/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jose Luis Valdez | 2926686 | 8 | 11/17/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kim Marie Monchik | 2528972 | 3 | 11/04/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Aron Dudkin | 1849292 | 5 | 10/25/2011 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Shoug Mayson | 5634302 | 8 | 10/15/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Nicholas Cassese | 1925159 | 4 | 10/05/2011 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |