Joao Pinto Sanctioned over High Frequency Trading
Joao Pinto (CRD# 6298233), a broker registered with Spartan Capital Securities, recommended unsuitable transactions in a retired customer’s account, according to a recent disciplinary action. MDF Law is currently investigating the New York City-based financial professional for allegations of similar conduct. We encourage investors with concerns to contact us immediately. To learn more about the […]
Patrick Cavanagh Suspended over 6-Figure Arbitration Award
Patrick Cavanagh (CRD# 5186630), formerly a broker registered with Spartan Capital Securities, failed to comply with an arbitration award, according to a recent Financial Industry Regulatory Authority (FINRA) suspension. MDF Law is investigating the former New York City broker for allegations of similar conduct. Investors with complaints should contact us as soon as possible. FINRA […]
Complaints Involving Justin Dieter End with Customer Settlements
Spartan Capital Securities broker Justin Dieter (CRD# 5225102) has been involved in customer disputes that cumulatively settled for hundreds of thousands of dollars. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on March 16, 2022, he is based at the firm’s branch office in Garden City, New York. FINRA: Complaints Settled for […]
Franz Lembert: Churning Complaints Against NYC Broker
Financial Industry Regulatory Authority (FINRA) records reflect that New York City-based Spartan Capital Securities broker Franz Lambert has received several pending customer disputes. If you are a current or former customer with complaints regarding Mr. Lambert (CRD# 4463792), contact MDF Law to discuss your recovery options. Pending Customer Complaints against Franz Lambert According to […]