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 |
|---|---|---|---|---|---|---|---|---|
| James Robert Pecoraro | 2440231 | 19 | 11/23/2021 | Customer Dispute | Closed-No Action | $12,230.00 | $0.00 | See FINRA Report |
| Justin Ray Deiter | 5225102 | 6 | 10/25/2021 | Customer Dispute | Settled | $97,707.00 | $0.00 | See FINRA Report |
| Brian Morgan Duddy | 2145276 | 3 | 10/21/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kim Marie Monchik | 2528972 | 3 | 10/19/2021 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |
| John Dennis Lowry | 4336146 | 11 | 10/19/2021 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Russo | 3072489 | 15 | 10/15/2021 | Customer Dispute | Settled | $49,000.00 | $0.00 | See FINRA Report |
| John Dennis Lowry | 4336146 | 11 | 08/12/2021 | Customer Dispute | Settled | $1,410,000.00 | $0.00 | See FINRA Report |
| Travis J Lippmann | 5908823 | 4 | 07/30/2021 | Customer Dispute | Pending | $853,231.00 | $0.00 | See FINRA Report |
| Nicholas James Schiano | 4429212 | 8 | 05/03/2021 | Customer Dispute | Settled | $62,961.00 | $0.00 | See FINRA Report |
| Christopher J. Dallas | 6184479 | 2 | 05/03/2021 | Customer Dispute | Settled | $32,736.50 | $0.00 | See FINRA Report |