Spartan Capital Securities

  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Ian Lowrey formerly with Spartan Capital Securities
Rex Securities Law Investment Fraud Attorney Investigates Ian Lowrey formerly with Spartan Capital Securities 150 150 Robert Rex, Esq.

Last Updated: September 2023 (New York. NY) Ian Lowrey Investigation Summary Here’s what you need to know about New York, NY, stockbroker Ian Lowrey: Name: Mr. Ian Phillip Lowrey Current…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Spartan Capital Securities Broker Mack Miller
Rex Securities Law Investment Fraud Attorney Investigates Spartan Capital Securities Broker Mack Miller 150 150 Robert Rex, Esq.

Last Updated: September 2023 (New York, NY) Mack Miller Investigation Summary Here’s what you need to know about New York, NY, stockbroker Mack Miller: Name: Mr. Mack Leon Miller Current…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Spartan Capital Securities Broker Peter J. Malone
Rex Securities Law Investment Fraud Attorney Investigates Spartan Capital Securities Broker Peter J. Malone 150 150 Robert Rex, Esq.

Last Updated: September 2023 (New York, NY) Peter J. Malone Investigation Summary Here’s what you need to know about New York, stockbroker Peter Malone: Name: Mr. Peter James Malone Current…

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  • Robert Rex, Esq.

NatAlliance Securities Censured and Fined by Securities Regulator-FINRA
NatAlliance Securities Censured and Fined by Securities Regulator-FINRA 150 150 Robert Rex, Esq.

NatAlliance Securities  March 2023- Austin, Texas In a recent FINRA Letter of Acceptance Waiver and Consent, Austin-based NatAlliance Securities (CRD 39455) was censured and fined $40,000 for mismarking bonds and…

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  • ER

Christopher Blumer- Former SW. Financial Broker-Discloses Award and Pending Customer Dispute-New York, NY
Christopher Blumer- Former SW. Financial Broker-Discloses Award and Pending Customer Dispute-New York, NY 150 150 ER

Christopher Blumer Investigation March 2023- New York, NY The FINRA records of Michael Christopher Blumer, a former SW Financial broker who currently works for Spartan Capital Securities,  disclose two pending and two prior…

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  • Robert Rex, Esq.

Shadi Barakat- Spartan Capital Broker-Discloses Customer Suits-NYC
Shadi Barakat- Spartan Capital Broker-Discloses Customer Suits-NYC 150 150 Robert Rex, Esq.

Shadi Barakat Investigation August 2022 -New York The FINRA records of  Shadi Taysir Barakat,  a  stock broker who is currently employed by Spartan Capital Securities disclose 3 regulatory events,  a currently pending customer dispute, 3…

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  • Robert Rex, Esq.

Christopher Orlando- Former Spartan Capital Broker- Barred From Industry by Regulator-Staten Island, NY
Christopher Orlando- Former Spartan Capital Broker- Barred From Industry by Regulator-Staten Island, NY 150 150 Robert Rex, Esq.

September 2021- Staten Island, NY The FINRA records of  Christopher G. Orlando ,  a  former financial advisor who was last employed by  Spartan Capital Securities disclose a regulatory event and two…

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  • Robert Rex, Esq.

Jovannie Aquino-Former Spartan Capital Securities Broker- Is Barred and Discloses Regulatory Events, Customer Disputes and a Termination-New York, NY
Jovannie Aquino-Former Spartan Capital Securities Broker- Is Barred and Discloses Regulatory Events, Customer Disputes and a Termination-New York, NY 150 150 Robert Rex, Esq.

June 2020- New York, NY According to publicly available records Jovannie Aquino (CRD#4876661), a  former stockbroker who last worked for Spartan Capital Securities,  discloses a regulatory event, a civil event,…

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  • Robert Rex, Esq.

Albert Foronda- Spartan Capital Securities Broker- Discloses Customer Disputes- NYC
Albert Foronda- Spartan Capital Securities Broker- Discloses Customer Disputes- NYC 150 150 Robert Rex, Esq.

October 2019- NYC, NY According to publicly available records Albert Foronda.   (CRD#5737620 ,  a  stockbroker  currently registered  with Spartan Capital Securities,  disclose a prior customer dispute and 2 pending customer dispute.…

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