Articles Posted in criminal charges

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Joseph ThurnherrPublic records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2017 indicate that New York-based Spartan Capital Securities broker Joseph Thurnherr has received several pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Thurnherr (CRD# 5045624).

Joseph Thurnherr has spent eight years in the securities industry and has been registered with Spartan Capital Securities in New York, New York since January 2017. Previous registrations include Windsor Street Capital in New York, New York; First Standard Financial Compliance Company in Staten Island, New York; National Securities Corporation in New York, New York; Obsidian Fianncial Group, which has been expelled by FINRA, in Red Bank, New Jersey; Legend Securities in New York, New York; National Securities in Iselin, New Jersey; and JP Turner & Company in Staten Island, New York. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker with ten US states and territories: California, the District of Columbia, Idaho, Iowa, Michigan, New Jersey, New York, Ohio, Pennsylvania, and Texas.

According to his BrokerCheck report, he has received three pending customer complaints and one pending criminal charge.

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Talman Harris

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 2, 2017 indicate that former New York-based Radnor Trading & Research broker Talman Harris, who has been barred from acting as a broker or otherwise associating with firms that sell securities to the public, has been named in a pending Securities and Exchange Commission complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Harris (CRD# 3209947).

Talman Harris has spent fifteen years in the securities industry and was most recently registered with Radnor Trading & Research in New York, New York (2011-2015). Previous registrations include First Merger Capital in New York, New York; Seaboard Securities in New York, New York; Martinez-Aymes Securities in New York, New York; Basic Investors in New York, New York; Legend Securities in New York, New York; New York Global Securities in New York, New York; and Benchmark Securities in Oklahoma City, Oklahoma. He is currently not registered with any state or firm.

According to his BrokerCheck report, Talman Harris has received two FINRA sanctions, one of which is on appeal, and has been named in a pending SEC complaint. He was also convicted of three criminal charges, which are on appeal.