Dec 16, 2024

Harry Warnick of Spartan Capital Securities, LLC FIRED

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 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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Aug 28, 2024

Joseph Desapio Formerly With Spartan Capital Securities, LLC Reviews

DID JOSEPH C DESAPIO CAUSE YOU INVESTMENT LOSSES? Joseph Desapio Formerly With Spartan Capital Securities, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Joseph Desapio Customer Complaints and Reviews Joseph Desapio’s disclosure records reveal multiple negative events Allegations Against Joseph Desapio Joseph Desapio Red Flags & Your Rights As An Investor Of course, Joseph Desapio did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Joseph Desapio at Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Joseph Desapio has 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 firms’ 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 Joseph Desapio If you have questions about Spartan Capital Securities, LLC and/or Joseph Desapio 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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Aug 19, 2024

Michael Blumer Formerly With Spartan Capital Securities, LLC Reviews

DID MICHAEL CHRISTOPHER BLUMER CAUSE YOU INVESTMENT LOSSES? Michael Blumer Formerly With Spartan Capital Securities, LLC Has 4 Customer Complaints For Alleged Broker Misconduct Michael Blumer Customer Complaints and Reviews Michael Blumer has several negative disclosures on his record: Allegations Against Michael Blumer Michael Blumer Red Flags & Your Rights As An Investor Of course, Michael Blumer did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Michael Blumer at Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Michael Blumer has 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 firms’ 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 Michael Blumer If you have questions about Spartan Capital Securities, LLC and/or Michael Blumer 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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May 11, 2024

Louis Pellegriti formerly with Spartan Capital Securities, LLC

DID LOUIS JOSEPH PELLEGRITI CAUSE YOU INVESTMENT LOSSES? Louis Pellegriti Formerly With Spartan Capital Securities, LLC Has 5 Customer Complaints For Alleged Broker Misconduct Louis Pellegriti Customer Complaints Louis Pellegriti has been the subject of 5 customer complaints that we know about seeking to recover investment losses. One customer complaint resulted in an arbitration award in favor of the investor for his alleged misconduct. Two of the customer complaints were settled by Spartan Capital Management in favor of the investors for Louis Pellegriti’s alleged misconduct.  His former employers denied, and the other 2 customer complaints and the investors took no further action. Allegations Against Louis Pellegriti A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Louis Pellegriti Red Flags & Your Rights As An Investor Of course, Louis Pellegriti did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Louis Pellegriti at Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Louis Pellegriti has 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 Louis Pellegriti  If you have questions about Spartan Capital Securities, LLC and/or Louis Pellegriti 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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May 2, 2024

Tory Duggins formerly Spartan Capital Securities, LLC

DID TORY A. DUGGINS CAUSE YOU INVESTMENT LOSSES? Tory Duggins Formerly With Spartan Capital Securities, LLC Has 4 Customer Complaints For Alleged Broker Misconduct Tory Duggins Customer Complaints Tory Duggins has been the subject of 4 customer complaints that we know about seeking to recover investment losses. One customer complaint evolved in a FINRA arbitration and award entered in favor of the investor for his alleged misconduct.   Two more customer complaints were settled by VFinance Investments in favor of the investors.  The same brokerage firm denied another customer complaint and the investor took no further action. Allegations Against Tory Duggins A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Tory Duggins Red Flags & Your Rights As An Investor Of course, Tory Duggins did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Tory Duggins at Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Tory Duggins has 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 Tory Duggins  If you have questions about Spartan Capital Securities, LLC and/or Tory Duggins 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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Oct 2, 2023

Sean Sullivan of Sovereign Global Advisors LLC

DID SEAN T SULLIVAN CAUSE YOU INVESTMENT LOSSES? Sean Sullivan Of Sovereign Global Advisors LLC And Formerly With Spartan Capital Securities, LLC and Aegis Capital Corp. Has 7 Customer Complaints For Alleged Broker Misconduct Sean Sullivan Customer Complaints Sean Sullivan has been the subject of at least 7 customer complaints that we know about recovering investment losses. Three of the customer complaints have been settled by Aegis Capital Corp. in favor of the investors. One customer complaint was withdrawn by the customer. There are 3 FINRA arbitrations still pending for Sean Sullivan’s alleged misconduct while employed at Aegis Capital Corp. Allegations Against Sean Sullivan The allegations made in the FINRA reported in the multiple arbitration claim settlements and/or pending complaints for investment losses were unauthorized trading, excessive trading, unsuitable investment recommendations, fraud, and negligence. Sean Sullivan Red Flags & Your Rights As An Investor Of course, Sean Sullivan did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Sean Sullivan at Sovereign Global Advisors LLC, Spartan Capital Securities, LLC and Aegis Capital Corp. on alert to review carefully the activity and performance of their accounts and question whether Sean Sullivan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sovereign Global Advisors LLC, Spartan Capital Securities, LLC and Aegis Capital Corp. also raises questions about the brokerage firms’ 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 Sovereign Global Advisors LLC Due To Sean Sullivan If you have questions about Sovereign Global Advisors LLC, Spartan Capital Securities, LLC, Aegis Capital Corp. and/or Sean Sullivan 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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Jul 28, 2023

Travis Lippmann of Spartan Capital Securities, LLC

DID TRAVIS J LIPPMANN CAUSE YOU INVESTMENT LOSSES? Travis Lippmann Of Spartan Capital Securities, LLC And Formerly With Joseph Stone Capital L.L.C., Primary Capital, LLC and Newbridge Securities Corporation Has 4 Customer Complaints For Alleged Broker Misconduct Travis Lippmann Customer Complaints Travis Lippmann has been the subject of 4 customer complaints that we know about to recover investment losses. Two of the customer complaints were settled in favor of the investors. The other 2 customer complaints was denied by Travis Lippmann’s former employers and, to date, the customers have not taken any further action. Allegations Against Travis Lippmann A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Travis Lippmann Red Flags & Your Rights As An Investor Of course, Travis Lippmann did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Travis Lippmann at Spartan Capital Securities, LLC, Joseph Stone Capital L.L.C., Primary Capital, LLC and Newbridge Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Travis Lippmann has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities, LLC, Joseph Stone Capital L.L.C., Primary Capital, LLC and Newbridge Securities Corporation also raises questions about the brokerage firms’ 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 Travis Lippmann If you have questions about Spartan Capital Securities, LLC, Joseph Stone Capital L.L.C., Primary Capital, LLC, Newbridge Securities Corporation and/or Travis Lippmann 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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Jul 20, 2023

John Lowry of Spartan Capital Securities

DID JOHN DENNIS LOWRY CAUSE YOU INVESTMENT LOSSES? John Lowry Of Spartan Capital Securities Has 19 Customer Complaints For Alleged Broker Misconduct Who is John Lowry of Spartan Capital Securities? John Lowry (CRD #4336146) is a broker who is currently registered with Spartan Capital Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. John Lowry has had his own regulatory problems. On March 28, 2023, a FINRA Hearing Panel rendered a decision in an enforcement action against John Lowry alleging that he willfully failed to amend, or timely amend, is form U4 to disclose arbitration filings and resolutions thereof. The decision was that John Lowry was suspended from association with any FINRA member in all capacities for 2 years, defined $40,000, and required to amend his Form U4 to reflect the filing and disposition of customer arbitrations. He was also ordered to pay the hearing costs of $17,768.31. Shortly thereafter, John Lowry filed an appeal with the FINRA National Adjudicatory Council and until that appeal is decided the sanctions ordered by the Hearing Panel are not in effect. John Lowry Customer Complaints John Lowry has been the subject of 19 customer complaints that we know about. FINRA has indicated there may be more customer complaints that were not disclosed and public filings. At the very least, two arbitration awards were entered against Spartan Capital Securities for John Lowry’s alleged misconduct causing investors losses. Six of John Lowry’s 19 customer complaints were settled in favor of investors. Three of John Lowry’s customers’ complaints were denied, and, to date, the customers have not taken any further action. There are currently 8 pending customer complaints filed against Spartan Capital Securities for investment losses caused by John Lowry’s alleged misconduct. Allegations Against John Lowry A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:  John Lowry Red Flags & Your Rights As An Investor Of course, John Lowry did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of John Lowry at Spartan Capital Securities on alert to review carefully the activity and performance of their accounts and question whether John Lowry has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Spartan Capital Securities Due To John Lowry If you have questions about Spartan Capital Securities and/or John Lowry 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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Jul 20, 2023

Thomas Baumann formerly with Spartan Capital Securities, LLC

DID THOMAS JAMES BAUMANN CAUSE YOU INVESTMENT LOSSES? Thomas Baumann Formerly With Spartan Capital Securities, LLC Has 6 Customer Complaints For Alleged Broker Misconduct Thomas Baumann Customer Complaints Thomas Baumann has been the subject of 6 customer complaints that we know about to recover investment losses. Spartan Capital Securities settled 3 of the customer complaints in favor of the investors. Thomas Baumann’s former employers denied the other two customer complaints and the customers took no further action. There is currently one customer complaint pending. Allegations Against Thomas Baumann A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Thomas Baumann Red Flags & Your Rights As An Investor Of course, Thomas Baumann did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Thomas Baumann at Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Thomas Baumann has 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 Thomas Baumann If you have questions about Spartan Capital Securities, LLC and/or Thomas Baumann 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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May 28, 2023

Ralph Metz Jr. of Spartan Capital Securities, LLC

DID RALPH EDWARD METZ, JR CAUSE YOU INVESTMENT LOSSES? Ralph Metz, Jr. Of Spartan Capital Securities, LLC Has A Customer Complaint For Alleged Broker Misconduct Ralph Metz Jr. Customer Complaint Ralph Metz, Jr. has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for unsuitable investment recommendations in common and preferred stock. Spartan Capital Securities denied the customer complaint and no further action was taken. Ralph Metz Jr. Red Flags & Your Rights As An Investor Of course, Ralph Metz, Jr. did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Ralph Metz, Jr. at Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Ralph Metz, Jr. has 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 Ralph Metz, Jr. If you have questions about Spartan Capital Securities, LLC and/or Ralph Metz, Jr. 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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