John M. Cullen of Garden City New York a stockbroker formerly registered with Spartan Capital Securities LLC is referenced in a customer initiated investment related arbitration claim where the customer requested $250,000.00 in damages founded on allegations that the customer’s stock account had been overconcentrated by Cullen in speculative equities products. Financial Industry Regulatory Authority (FINRA) Arbitration No. 16-00501 (Nov. 30, 2017).
FINRA Public Disclosure additionally confirms that on March 15, 2011, a customer initiated investment related complaint concerning Cullen’s conduct was resolved for $39,000.00 in damages based upon accusations that while Cullen was employed by Andrew Garrett, Inc., he traded in the customer’s investment account on an excessive basis and placed the customer in over-the-counter equities that were not suitable for the customer.
Cullen has been registered with Spartan Capital Securities LLC since June 24, 2013. Since January 3, 2006, Cullen has been associated with five different broker dealers, four of which have been expelled by securities regulators for violation of federal securities laws or are otherwise defunct. #cockroach
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