In a complaint dated December 15, 2025, the Financial Industry Regulatory Authority (FINRA) alleges Spartan Capital Securities, LLC, and five individuals, for more than four years, “defrauded customers by engaging in widespread churning, generating millions in revenue and causing customers millions in harm. Spartan’s business model depended on this misconduct – approximately two thirds of […]

Clients Indicate Broker John Stapleton Sold Unsuitable Investments Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows troubling information regarding securities broker John Joseph Stapleton (CRD#: 2791194, Garden City, New York). Namely, five investors brought lawsuits regarding the broker, who has been a Spartan Capital Securities broker since 2015. These disputes suggest that Stapleton […]