Articles Tagged with Spartan Capital Securities

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Shadi Barakat

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 10, 2017 indicate that New York-based Spartan Capital Securities broker Shadi Barakat, also known as Sean Barakat, has received several resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Barakat (CRD# 5031281).

Shadi Barakat has spent 11 years in the securities industry and has been registered with Spartan Capital Securities in New York, New York since May 2017. Previous registrations include Aegis Capital in New York, New York; Gunnallen Financial in New York, New York; Joseph Gunnar & Company in New York, New York; Mercer Capital in New York, New York; and VFinance Investments in New York, 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 four US states and territories: California, Maryland, New York and Ohio.

According to his BrokerCheck report, he has received one customer complaint, two pending customer complaints and six unsatisfied tax liens.

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Mack MillerPublic records provided by the Financial Industry Regulatory Authority (FINRA) on August 7, 2017 indicate that New York-based Spartan Capital Securities broker Mack Miller has been the subject of resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Miller (CRD# 2822317).

Mack Miller has spent 12 years in the securities industry and has been registered with Spartan Capital Securities in New York, New York since April 2017. Previous registrations include Dawson James Securities in New York, New York; Lampert Capital Markets in New York, New York; Viewtrade Securities in Jersey City, New Jersey; Arjent LLC in New York, New York; Woodstock Financial Group in New York, New York; Blackbook Capital in New York, New York; and Coastal Equities in New York, New York. He is a registered broker with 12 US states: Arizona, California, Georgia, Iowa, Kansas, Minnesota, Nebraska, New York, Ohio, Oklahoma, Texas and Washington.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint. He also was “permitted to resign” from Dawson James Securities in April 2017 following allegations he “called a prospective customer in a state where he was not registered.”

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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.