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…
read moreChristopher 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…
read moreShadi 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…
read moreSeptember 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…
read moreJune 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,…
read moreOctober 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.…
read moreOctober 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…
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