DID HARRY HARPER WARNICK CAUSE YOU INVESTMENT LOSSES?
Harry Warnick Formerly With Spartan Capital Securities, LLC was fired on September 12, 2024, under allegations of conducting outside business activity without proper disclosure or firm approval
Who is Harry Warnick formerly with Spartan Capital Securities, LLC?
Harry Warnick (CRD #6916323) who was formerly registered as a broker with Spartan Capital Securities, LLC and located in New York, New York, is a subject of one of our many securities industry sales practice abuse investigations.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Harry Warnick Employment History and Termination
Harry Harper Warnick has a background in the financial services industry, with experience working at multiple firms as a registered broker. He was most recently registered with Spartan Capital Securities, LLC in New York, New York, from December 2022 to September 2024. Prior to that, he held positions at Benchmark Investments LLC from September 2022 to November 2022, Houlihan Lokey Capital, Inc. from June 2021 to October 2022, and other firms, including B. Riley FBR, Inc. and Benchmark Investments, Inc.
He has passed five general industry/product exams and one multi-state securities law exam, including the Series 7 General Securities Representative exam and the Series 79 Investment Banking Registered Representative exam.
Harry Warnick was terminated by Spartan Capital Securities, LLC, on September 12, 2024, due to allegations of conducting outside business activity with a client of the firm, participating in a private securities transaction, and outside securities account activity without proper disclosure or approval. The allegations also involved the use of a personal email address to disguise the transaction from the firm. Additionally, he allegedly failed to cooperate with Spartan Capital’s internal investigation.
Harry Warnick Red Flags & Your Rights As An Investor
Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Harry Warnick is a red flag which should put all current and former customers of Harry Warnick at Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Harry Warnick engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Spartan Capital Securities, LLC Due To Harry Warnick
If you have questions about Spartan Capital Securities, LLC and/or Harry Warnick and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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