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Jun 28, 2023 · June 28 (Reuters) - Federal prosecutors are investigating whether a broker at Spartan Capital Securities traded on confidential information about planned mergers and acquisitions illegally...
Nov 8, 2021 · The Complaint states that 60 of the 152 amendments were not filed at all. In 59 of those nondisclosures, the arbitration claims supposedly involved a branch manager or executive of the company. In 55 of the 152 amendments, Spartan allegedly delayed filing by 216 days on average.
Mar 28, 2023 · Spartan is also required to retain an independent consultant to review its supervisory procedures and to amend the Forms U4 and Forms U5 of its registered persons, including John D. Lowry and Kim M. Monchik, to reflect the filing and disposition of customer arbitrations and customer written complaints. Spartan’s failures to
May 22, 2024 · The real deal on Spartan Capital Asset Management: why I do not recommend it. As a brokerage safety expert, I meet many people who have lost their money to shady brokers and scammers. I use data and warning lists published by regulators worldwide to analyze whether a brokerage is a legit entity.
- Can I Sue Spartan Capital Securities?
- What Is Spartan Capital Securities?
- Spartan Capital Securities Has Many Different Regulatory Problems
- Spartan Capital Securities Customer Complaints
- Did Spartan Capital Securities Advisor Misconduct Cause You Investment Losses?
If you’ve lost money caused by Spartan Capital Securities and/or its employees’ misconduct then the answer is, YES, you can sue Spartan Capital Securities but the odds are you signed away your right to sue in court and agreed to resolve your dispute in a FINRA arbitration proceeding. Attorney Robert Wayne Pearce has over 40 years of personal experi...
Spartan Capital Securities (CRD# 146251)is a registered broker-dealer. It operates as a full-service independent broker-dealer, providing a range of financial products and services to individual investors and financial advisors. As a registered broker-dealer, Spartan Capital Securities is subject to regulations and oversight by the Securities and E...
Spartan Capital Securities’ rapid growth has not been without consequences. There have been approximately 6 state and self-regulatory body disclosure events; that is, final and formal proceedings initiated by a regulatory authority (e.g., a state or federal securities agency like the U.S. Securities and Exchange Commission (SEC) or self-regulatory ...
There have been scores of customer complaints filed against Spartan Capital Securities stockbrokers and investment advisors over the years. We have launched many investigations of current and former Spartan Capital Securities advisors: [Insert BBB List] If you have lost money investing with any of these Spartan Capital Securities advisorsor others ...
When financial advisor misconduct has caused you to lose substantial value to your investment accounts, you have the right to seek reimbursement from the responsible parties. Spartan Capital Securities is responsible like any employer for its financial advisors acts and omissions. In addition, it has an independent duty to supervise its stockbroker...
May 3, 2024 · Spartan Capital Securities has faced numerous complaints and regulatory actions for misconduct, leading to significant scrutiny. Since 2017, FINRA, state regulatory organizations and other investors have filed multiple customer complaints, citing allegations of fraud, negligence and breach of fiduciary duty.
Mar 7, 2019 · John Dennis Lowry of New York New York the Chief Executive Officer and Managing Member of Spartan Capital Securities LLC is referenced in a customer initiated investment related arbitration claim in which customers were collectively awarded $330,000.00 based upon findings that Lowry and Spartan Capital Securities LLC (1) breached fiduciar y ...
