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 Dennis Lowry | 4336146 | 12 | 11/18/2022 | Customer Dispute | Pending | $247,262.00 | $0.00 | See FINRA Report |
| James Robert Pecoraro | 2440231 | 19 | 10/26/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Michael Palma | 6848651 | 3 | 10/10/2022 | Customer Dispute | Award / Judgment | $10,900,000.00 | $0.00 | See FINRA Report |
| Joao Amorim Pinto | 6298233 | 2 | 10/07/2022 | Customer Dispute | Settled | $268,386.00 | $0.00 | See FINRA Report |
| James Robert Pecoraro | 2440231 | 19 | 08/04/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Arthur Mel Coffey | 2553466 | 21 | 06/06/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Robert Pecoraro | 2440231 | 19 | 05/31/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peter James Malone | 4412447 | 1 | 03/21/2022 | Customer Dispute | Pending | $1,303,700.00 | $0.00 | See FINRA Report |
| Scott Jason Hechler | 5277526 | 3 | 03/21/2022 | Customer Dispute | Settled | $42,360.00 | $0.00 | See FINRA Report |
| John Michael Palma | 6848651 | 3 | 12/07/2021 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |