May 2026- Staten Island
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
According to FINRA records, Geoffrey Garratt discloses 2 settled customer disputes, 2 regulatory events and outstanding liens.
- FINRA Case 15-0042- A customer of Garratt while he was registered with National Securities Corp alleged that unsuitable investments were made. That case was settled for $250,000.
- FINRA Case 18-3771- A customer of National Securities was awarded $58,873 by an arbitration panel to resolve allegations that Garratt made unsuitable recommendations and breached his fiduciary duty.
In 2021 FINRA suspended Garratt for failing to comply with the arbitration award cited above.
According to FINRA records, Garratt was registered with First Standard Financial since 3/2015. He was registered with National Securities Corporation from 7/2012-3/2015, and with Spartan Capital Securities from 1/2018-5/2021.
Investigations of other National Securities Corp. brokers
Other Investigations Involving Spartan Capital Securities Brokers
If you have losses in an account handled by Geoffrey Garratt , contact us to learn how you may be able to recover damages through FINRA arbitration.
Firms We Have Pursued For Our Clients
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Nationwide Representation
TollFree: 877-224-3199
Florida-561 391 1900
Texas-512-329-2870