Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 30, 2016 indicate that New York-based Windsor Street Capital broker Roger Spann has been the subject of customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Spann (CRD# 2211632).
Roger Spann has spent 23 years in the securities industry and has been registered with Windsor Street Capital in New York, New York since 2008. Previous registrations include Bishop Rosen & Company in New York, New York; Saxony Securities in New York, New York; First Republic Group, which has been expelled by FINRA, in New York, New York; JWGenesis Securities in Boca Raton, Florida; National Securities in Seattle, Washington; the Boston Group in Los Angeles, California; and First Metropolitan Securities in New York, New York. He is a registered broker with 29 US states and territories.
According to his BrokerCheck report, Roger Spann has received four customer complaints and was terminated from one former employer.
In May 2016 the State of New York filed a tax lien totaling $9,693.83 against Roger Spann. The lien remains outstanding.
In 2014 the State of New York filed a tax lien totaling $9,402.08 against Roger Spann. The lien remains outstanding.
In 2008 Roger Spann was terminated from his position at Bishop Rosen & Company following allegations he “admitted making copies of client information and ‘swapping’ them with an employee of another brokerage firm.”
In 2005 a customer alleged Roger Spann, while employed at First Republic Group, breached contract, breached his fiduciary duty, churned the account, executed unauthorized trades, and committed fraud. The complaint settled for $67,500.
In 2004 a customer alleged he, while employed at First Republic Group, executed unsuitable transactions. The complaint settled for $30,000.
In 1994 a customer alleged he, while employed at Hanover Sterling, executed unauthorized trades and failed to execute trades. The complaint resulted in an award to the customer of $3,150.
In 1994 a customer alleged he, while employed at Hanover Sterling, executed unauthorized trades. The complaint resulted in an award to the customer of $667.
If you or someone you know has complaints regarding Roger Spann, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.