October 2019, New York, NY According to publicly available records Nicholas James Schiano (CRD#4429212) , a stockbroker who currently is employed by Spartan Capital Securities, discloses 1 prior customer dispute and…
read moreJanuary 2019- Garden City, NY According to publicly available records Michael Christopher Venturino , a stockbroker who is currently employed by Spartan Capital Securities and was formerly employed by Aegis Capital Corp. and…
read moreJuly 2021 UPDATE According to FINRA records, Marc A. Reda , a broker who is currently employed by Spartan Capital Securities, discloses a pending regulatory matter, a prior regulatory matter, a…
read moreMay 2017-New York The FINRA records of Mack L. Miller , a stockbroker who is currently registered with Spartan Capital Securities disclose two prior customer disputes, a separation from employment and 2 currently outstanding judgment/liens . The…
read moreJuly 2017-New York According to publicly available records Tyre F. Newsome , (CRD# 4812894) , a stockbroker who is currently registered with Windsor Street Capital , disclose a prior customer dispute,…
read moreUPDATE MARCH 2018-Joseph M. Thurnherr is now employed by Spartan Capital Securities and has another customer dispute disclosed on his BrokerCheck report. See this for details. Meyers Associates is now …
read moreJuly 2021 UPDATE -FINRA has filed a complaint alleging that Reda churned accounts and traded customer without authority. Follow this for update. ORIGINAL POST--May 2016- Garden City, NY The Financial Industry Regulatory…
read moreMay 2016 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…
read moreAPRIL 2017 UPDATE-In November 2016 a customer of Spartan Capital filed FINRA arbitration 16-3109 alleging damages of $27,376 for overconcentration, unauthorized use of margin and negligence. ORIGINAL POST -May 2016…
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