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 |
|---|---|---|---|---|---|---|---|---|
| Michael Joseph Russo | 3072489 | 15 | 09/22/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tory A Duggins | 4556340 | 12 | 09/12/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Joseph Russo | 3072489 | 15 | 09/09/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tory A Duggins | 4556340 | 12 | 08/29/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nicholas James Schiano | 4429212 | 8 | 08/28/2017 | Customer Dispute | Settled | $128,541.00 | $0.00 | See FINRA Report |
| Tory A Duggins | 4556340 | 12 | 08/09/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Shoug Mayson | 5634302 | 8 | 06/22/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Robert Pecoraro | 2440231 | 19 | 06/15/2017 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Travis J Lippmann | 5908823 | 4 | 05/30/2017 | Customer Dispute | Denied | $34,000.00 | $0.00 | See FINRA Report |
| MacK Leon Miller | 2822317 | 8 | 05/18/2017 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |