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 |
|---|---|---|---|---|---|---|---|---|
| George Carlo | 2080659 | 6 | 04/21/1997 | Customer Dispute | Settled | $23,000.00 | $0.00 | See FINRA Report |
| David Aron Dudkin | 1849292 | 5 | 12/10/1996 | Customer Dispute | Settled | $69,750.00 | $0.00 | See FINRA Report |
| George Carlo | 2080659 | 6 | 09/27/1996 | Customer Dispute | Award / Judgment | $5,875.00 | $5,837.00 | See FINRA Report |
| Jason Diamond | 1519498 | 2 | 07/25/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Howard Coons | 2049465 | 6 | 01/25/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Howard Coons | 2049465 | 6 | 01/20/1996 | Customer Dispute | Settled | $107,528.00 | $0.00 | See FINRA Report |
| George Christopher Tsiorvas | 2562365 | 6 | 02/18/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Louis Ward | 2080639 | 5 | 10/27/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Christoforidis | 2841315 | 1 | 05/23/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason Diamond | 1519498 | 2 | 12/24/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |