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 |
|---|---|---|---|---|---|---|---|---|
| Louis Ward | 2080639 | 5 | 03/06/2003 | Customer Dispute | Award / Judgment | $0.00 | $73,351.00 | See FINRA Report |
| William Howard Coons | 2049465 | 6 | 01/07/2003 | Customer Dispute | Settled | $363,000.00 | $0.00 | See FINRA Report |
| James Robert Pecoraro | 2440231 | 19 | 10/23/2002 | Customer Dispute | Withdrawn | $18,796.00 | $0.00 | See FINRA Report |
| James Robert Pecoraro | 2440231 | 19 | 09/08/2002 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| John Joseph Stapleton | 2791194 | 14 | 08/20/2002 | Customer Dispute | Settled | $63,000.00 | $0.00 | See FINRA Report |
| Richard Alfred Saitta | 2592014 | 4 | 05/13/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Robert Pecoraro | 2440231 | 19 | 04/29/2002 | Customer Dispute | Settled | $186,841.00 | $0.00 | See FINRA Report |
| George Christopher Tsiorvas | 2562365 | 6 | 03/13/2002 | Customer Dispute | Settled | $7,500.00 | $0.00 | See FINRA Report |
| Louis Ward | 2080639 | 5 | 08/08/2001 | Customer Dispute | Denied | $125,000.00 | $0.00 | See FINRA Report |
| Christopher Paul Gallo | 6045888 | 1 | 02/13/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |