The investment loss attorneys at KlaymanToskes are investigating complaints against Spartan Capital Securities on behalf of investors who have suffered significant financial losses.
Spartan Capital Securities (CRD# 146251) has been the subject of multiple complaints filed by the Financial Industry Regulatory Authority (“FINRA”), state regulatory bodies, and individual investors.
Investors that suffered losses with Spartan Capital Securities are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
If you have suffered investment losses with a Spartan Capital Securities advisor, contact the securities attorneys at KlaymanToskes at 888-997-9956 for a free and confidential consultation.
We serve investors nationwide and have experience in handling cases involving investor disputes with brokerage firms, including Spartan Capital Securities.
When clients have valid complaints, brokerage firms often employ various tactics to avoid addressing the issues. These can include:
By recognizing these tactics, you can be better prepared to address and counter them effectively. If you believe you have a valid complaint, it’s important to seek independent legal advice promptly. Contact KlaymanToskes at 888-997-9956 for a free consultation to discuss your case and potential recovery options.
Dealing with a brokerage firm that is unresponsive or dismissive of your concerns can be incredibly frustrating, especially when significant financial losses are involved. If Spartan Capital Securities is neglecting your concerns, the time to take action is now.
Investment Firms’ delays or lack of communication may be tactics to avoid addressing your legitimate complaints and financial losses.
Brokerage firms, and their advisors, are held to a high standard of conduct. They have a fiduciary duty to act in the best interests of their clients, providing honest and transparent communication, and making suitable investment recommendations based on each client’s unique financial situation and goals. When these standards are not met, and investors suffer losses as a result, investors are encouraged to speak with an experienced securities attorney, by contacting KlaymanToskes at 888-997-9956.
At KlaymanToskes, we understand the importance of timely and effective communication in resolving investment disputes. Our team is here to ensure that your voice is heard and that your complaints are taken seriously.
We have extensive experience representing the interests of investors with complaints against brokerage firms like Spartan Capital Securities.
Don’t let Spartan Capital Securities continue to neglect your concerns. Contact KlaymanToskes today at 888-997-9956 for a free consultation.
KlaymanToskes is actively investigating various claims against Spartan Capital Securities, focusing on allegations of unauthorized trading, excessive trading (churning), misrepresentation, unsuitable investment recommendations, and failure to supervise. These investigations aim to uncover any misconduct and help investors recover their losses.
Below is a list of advisors and brokers currently under investigation:
If you have experienced investment losses with any of these Spartan Capital Securities advisors or others within the firm, we strongly recommend you take action today. Call us at 888-997-9956.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against Spartan Capital Securities. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encourage to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with Spartan Capital Securities, or have concerns regarding your investment portfolio at Spartan Capital Securities, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.
Yes, you can seek recovery through a process called FINRA arbitration. Unlike traditional lawsuits and class action lawsuits, FINRA arbitration offers a much faster and more efficient way to resolve disputes. This process is specifically designed for the financial industry and provides a forum to address claims such as the unlawful withholding of deferred compensation.
Below is a general overview of the arbitration process. Here’s what you can do if you find yourself in this situation:
Contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss your eligibility and the steps to take in pursuing a FINRA arbitration claim. No attorney’s fees will be collected unless we secure a financial recovery for you. Take action now to recover your losses from Spartan Capital Securities.
You’ve spent a long time building trust with your advisor, and we understand that placing your trust in someone else after feeling betrayed by them can be intimidating.
At KlaymanToskes, we are committed to helping investors and building a relationship of trust with our clients. We take the time to get to know you and your case, so that we can provide you with the most effective legal representation possible.
We won’t push you into a situation that you’re not comfortable with, and we’ll never move forward until you feel confident in your decision.
Chances are, if you find yourself with significant investment losses due to an advisor, there may be other individuals that have been working with the same professional who may not yet be aware of the losses they may have incurred due to the broker’s misconduct.
Your actions could help protect other unsuspecting investors from potential financial losses.
Contact us today at 888-997-9956 for a free, no-obligation consultation with our experienced investment fraud lawyers. We will review your case and determine if you have grounds to seek recovery of any losses caused by financial advisor misconduct or broker negligence.
We look forward to speaking with you.
Spartan Capital Securities, LLC (CRD# 146251) is a brokerage firm offering a range of investment products and services. Established in 2007 and based in New York, the firm is regulated by FINRA and registered with the SEC and in 53 U.S. states and territories. The firm operates in various sectors, including corporate securities, mutual funds, U.S. government securities, municipal securities, and private placements.
John Lowry serves as the Chief Executive Officer/Managing Member and The company is owned by Spartan Capital Holdings, LLC.
Spartan Capital Securities has faced several complaints and regulatory actions. There are 7 regulatory events, 1 civil event, and 4 arbitration cases disclosed against the firm.
Complaints include allegations of unauthorized trading, excessive trading (churning), misrepresentation, unsuitable investment recommendations, and failure to supervise.
Regulatory actions have also addressed issues such as the payment of commissions to unregistered entities, failure to comply with supervisory agreements, and violations related to telemarketing practices.
Yes, you can seek recovery for investment losses through FINRA arbitration. This process is designed to handle disputes in the financial industry more efficiently than traditional lawsuits.If you have suffered financial harm due to the actions of Spartan Capital Securities or its representatives, consulting with a securities attorney can help evaluate your case and guide you through the arbitration process to pursue compensation.