Articles Tagged with Spartan Capital Securities

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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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Caeron McClintockPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on November 2, 2016 indicate that former New York-based Spartan Capital Securities broker Caeron McClintock, also known as Ron McClintock, has received pending customer disputes. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McClintock (CRD# 3206481).

Caeron McClintock has spent seventeen years in the securities industry and was most recently registered with Spartan Capital Securities in New York, New York (2016). Previous registrations include Legend Securities in New York, New York; Rothschild Lieberman in New York, New York; EJ Sterling in New York, New York; Brookstone Securities, which has been expelled by FINRA, in New York, New York; JP Turner & Company in Brooklyn, New York; Fordham Financial Management in New York, New York; Joseph Stevens & Company in New York, New York; Ladenburg Thalmann & Company in New York; and Ladenburg Capital Management in Bethpage, New York. He is currently not registered with any state or firm.

According to his BrokerCheck report, Caeron McClintock has received two pending customer complaints and one tax lien.