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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Edward O'Shea | 2805483 | 3 | 02/05/2024 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Robert Nicholas Rotunno | 4025263 | 5 | 01/10/2024 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| John Joseph Stapleton | 2791194 | 16 | 01/04/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Joseph Perlongo | 4913481 | 7 | 12/29/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Marc Anthony Arena | 2754309 | 8 | 12/26/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joao Amorim Pinto | 6298233 | 2 | 11/21/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas John Briguccia | 2311865 | 2 | 09/11/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Arthur Mel Coffey | 2553466 | 21 | 02/15/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Kelly | 4560737 | 3 | 12/09/2022 | Customer Dispute | Closed-No Action | $7,500.00 | $0.00 | See FINRA Report |
| Kim Marie Monchik | 2528972 | 4 | 11/18/2022 | Customer Dispute | Pending | $247,262.00 | $0.00 | See FINRA Report |