Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 8, 2018 indicate that New York-based Trident Partners broker James Sparacino has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Sparacino (CRD# 2702592).
James Sparacino has spent 20 years in the securities industry and has been registered with Trident Partners in Woodbury, New York since 2013. Previous registrations include Merrimac Corporate Securities in Jericho, New York (2011-2013); JP Turner & Company in Syosset, New York (2008-2011); the Concord Equity Group in Syosset, New York (2006); Gunnallen Financial in Tampa, Florida (2002-2005); Harrison Securities in Port Washington, New York (2001-2002); Global Capital Securities in Englewood, Colorado (2000-2001); Tasin & Company in Hauppage, New York (1998-2000); the JB Sutton Group in Melville, New York (1997-1998); HGI in Jericho, New York (1996-1998); and First United Equities Corporation in New York, New York (1996-1997). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 21, 1996, and Series 7 (General Securities Representative Examination), which he obtained on January 22, 1996. He is a registered broker with 18 US states and territories: Arizona, California, Colorado, Illinois, Iowa, Kansas, Louisiana, Massachusetts, Michigan, Minnesota, Missouri, New Jersey, New York, Ohio, Oklahoma, Virginia, and Washington.
According to his BrokerCheck report, he has received two customer complaints, one pending customer complaint, and five unsatisfied judgments or liens.
In October 2017 a customer alleged James Paracino, while employed at Trident Partners, made unsuitable transactions. The customer is seeking $40,489 in damages in the pending complaint.
In 2016 a customer alleged James Sparacino, while employed at Merrimac Corporate Securities, made unsuitable investment recommendations, breached his fiduciary duty, executed unauthorized trades, and failed in his supervisory duties in connection to investments that suffered losses although he “generated considerable commissions on trades.” The complaint settled for $12,000.
In 2016 the State of New York filed a tax lien totaling $1,246 against him. The lien remains outstanding.
In 2015 the Internal Revenue Service filed a tax lien totaling $2,153 against him. The lien remains outstanding.
In 2015 the Internal Revenue Service filed a tax lien totaling $16,579 against him. The lien remains outstanding.
In 2014 the Internal Revenue Service filed a tax lien totaling $4,146 against him. The lien remains outstanding.
In 2006 a customer alleged James Sparacino, while employed at Tasin & Company, acted negligently, executed unauthorized trades, breached contract, breached his fiduciary duty, misrepresented and omitted material facts, and failed to execute. The complaint resulted in an award to the customer of more than $222,500.
If you or someone you know has lost money investing with James Sparacino, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.