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 |
|---|---|---|---|---|---|---|---|---|
| John Joseph Stapleton | 2791194 | 14 | 08/10/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Talbot | 3059670 | 7 | 07/06/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Robert Pecoraro | 2440231 | 19 | 12/14/2004 | Customer Dispute | Closed-No Action | $8,240.00 | $0.00 | See FINRA Report |
| Richard Alfred Saitta | 2592014 | 4 | 11/30/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Florence Marie Simeon | 1422241 | 2 | 03/17/2004 | Customer Dispute | Settled | $72,246.00 | $0.00 | See FINRA Report |
| James Robert Pecoraro | 2440231 | 19 | 02/06/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Robert Pecoraro | 2440231 | 19 | 12/10/2003 | Customer Dispute | Award / Judgment | $230,000.00 | $235,735.00 | See FINRA Report |
| Gary Talbot | 3059670 | 7 | 11/26/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Joseph Dugan | 2824966 | 7 | 11/13/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Robert Pecoraro | 2440231 | 19 | 09/15/2003 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |