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 |
|---|---|---|---|---|---|---|---|---|
| Ronald G Smith | 6038062 | 2 | 01/21/2021 | Customer Dispute | Closed-No Action | $42,035.00 | $0.00 | See FINRA Report |
| Brian Morgan Duddy | 2145276 | 3 | 01/13/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Joseph Russo | 3072489 | 15 | 01/11/2021 | Customer Dispute | Settled | $41,916.00 | $0.00 | See FINRA Report |
| Gregory Joseph Stevens | 5787662 | 1 | 01/11/2021 | Customer Dispute | Settled | $41,916.00 | $0.00 | See FINRA Report |
| Nicholas James Schiano | 4429212 | 8 | 12/23/2020 | Customer Dispute | Pending | $414,744.00 | $0.00 | See FINRA Report |
| Michael Joseph Russo | 3072489 | 15 | 12/03/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Dennis Lowry | 4336146 | 11 | 06/26/2020 | Customer Dispute | Pending | $240,000.00 | $0.00 | See FINRA Report |
| Nicholas James Schiano | 4429212 | 8 | 05/18/2020 | Customer Dispute | Settled | $46,295.00 | $0.00 | See FINRA Report |
| MacK Leon Miller | 2822317 | 8 | 04/09/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Joseph Stapleton | 2791194 | 14 | 01/28/2020 | Customer Dispute | Settled | $25,445.00 | $0.00 | See FINRA Report |