• 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.

Matthew A. Siliato- Former Spartan Capital Broker-Barred from Securities Industry-NYC
Matthew A. Siliato- Former Spartan Capital Broker-Barred from Securities Industry-NYC 150 150 Robert Rex, Esq.

Matthew A. Siliato Investigation March 2022 -New York The FINRA records of  Matthew Angelo Siliato,  a  former stock broker who was last employed by Spartan Capital Securities disclose 3 regulatory events,  a currently pending…

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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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  • Robert Rex, Esq.

Nicholas Schiano- Spartan Capital Securities Broker-Discloses Two Customer Disputes-New York, NY
Nicholas Schiano- Spartan Capital Securities Broker-Discloses Two Customer Disputes-New York, NY 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Nicholas J. Schiano- Former Worden Capital Management Broker- Discloses Customer Disputes- NYC
Nicholas J. Schiano- Former Worden Capital Management Broker- Discloses Customer Disputes- NYC 150 150 Robert Rex, Esq.

September 2019, New York, NY According to publicly available records Nicholas James Schiano   (CRD#4429212) ,  a  stockbroker currently registered  with Spartan Capital Securities,  disclose 1 prior customer dispute and 1 pending…

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  • Robert Rex, Esq.

Michael Venturino-Former Aegis Capital/Trident Partners Broker-Subject of $1.2M Customer Suit-Garden City, NY
Michael Venturino-Former Aegis Capital/Trident Partners Broker-Subject of $1.2M Customer Suit-Garden City, NY 150 150 Robert Rex, Esq.

January 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…

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  • Robert Rex, Esq.

Joseph M. Thurnherr-Former Windsor Street/Meyers Assoc. Broker-Discloses Numerous Customer Suits-New York
Joseph M. Thurnherr-Former Windsor Street/Meyers Assoc. Broker-Discloses Numerous Customer Suits-New York 150 150 Robert Rex, Esq.

March 2018 – New York The FINRA records of  Joseph M. Thurnherr,  a  stock broker who is currently employed by Spartan Capital Securities  disclose  two prior regulatory matters, three pending customer disputes , three prior final…

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  • Robert Rex, Esq.

Tyre F. Newsome-Former Cape Securities Broker-Discloses Termination and Outstanding IRS Lien-New York
Tyre F. Newsome-Former Cape Securities Broker-Discloses Termination and Outstanding IRS Lien-New York 150 150 Robert Rex, Esq.

July 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,…

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  • Robert Rex, Esq.

Shahbul A. Molla Named in Customer Arbitration-Spartan Capital Securities Broker
Shahbul A. Molla Named in Customer Arbitration-Spartan Capital Securities Broker 150 150 Robert Rex, Esq.

May 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…

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