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 |
|---|---|---|---|---|---|---|---|---|
| Nicholas James Schiano | 4429212 | 8 | 01/28/2020 | Customer Dispute | Settled | $241,727.00 | $0.00 | See FINRA Report |
| Joseph Kelly | 4560737 | 5 | 01/28/2020 | Customer Dispute | Settled | $529,411.00 | $0.00 | See FINRA Report |
| Travis J Lippmann | 5908823 | 4 | 01/10/2020 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |
| Justin Ray Deiter | 5225102 | 6 | 01/08/2020 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Shoug Mayson | 5634302 | 8 | 12/24/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Louis Ward | 2080639 | 5 | 12/09/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jose Luis Valdez | 2926686 | 8 | 12/06/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Barry Michael Sine | 2155603 | 1 | 09/24/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Joseph Russo | 3072489 | 15 | 09/20/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shoug Mayson | 5634302 | 8 | 08/16/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |