August 2025-Farmingdale, NY
The FINRA records of Thomas J. Tedeschi, a currently unregistered stockbroker who was last employed by Spartan Capital Securities disclose 6 prior customer disputes and two regulatory matters.
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.
The prior customer disputes vs. Tedeschi include:
In 2/2022 a customer of Aegis Capital was paid $51,267 to settle a case alleging breach of contract and unsuitable investment recommendations.
A complaint filed in 2015 by a customer of Tedeschi’s prior employer Aegis Capital Corp. who alleged damages of $117,102 for unauthorized purchases between 10/2013-12/2013. That case was settled for $60,000.
In May 2023 FINRA suspended Tedeschi for three months (6/5/2023-9/4/2023) for failing to disclosed to FINRA that he had been charged with two felonies.
In September 2016, FINRA suspended Tedeschi for six days to resolve allegations that Tedeschi failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to FINRA request to provide information concerning the status of compliance. FINRA Case# 15-0563.
Tedeschi has been registered with Salomon Whitney Financial since 8/2016. Prior to that he was registered with Joseph Stone Capital from 8/2014-8/2016.
If you have losses in an account in an account handled by Thomas J. Tedeschi , contact us to discuss how you may be able to recover damages for those losses.
Investigations of Aegis Capital and Aegis Capital Brokers-Lawsuits, Arbitrations & Disputes
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.
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