Joseph Edward O’Shea Jr., of New York, New York, a stockbroker registered with Spartan Capital Securities LLC, was the subject of a customer initiated investment related complaint filed on February 5, 2024, in which the customer requested $50,000.00 in damages based upon allegations that O’Shea engaged in excessive trading and charged excessive commission in connection with the sale of options, stocks, and over-the-counter when O’Shea was associated with Spartan Capital Securities LLC.
This complaint was closed without the customer taking further action.
Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that O’Shea was also referenced in a customer initiated investment related complaint filed on July 12, 2000, in which the customer requested damages based upon allegations that O’Shea engaged in unauthorized use of margin in connection with the sale of over-the-counter equities when O’Shea was associated with Carnegie Investor Services Inc. The complaint was closed without further action by the customer.
O’Shea was associated with Arete Wealth Advisors LLC from July 21, 2022, to September 8, 2022, and Arete Wealth Management LLC from July 21, 2022, to September 8, 2022. He was also associated with National Asset Management Inc. from September 15, 2014, to July 21, 2022, and National Securities Corporation from July 21, 2009, to July 21, 2022.
O’Shea has been associated with Spartan Capital Securities LLC in New York, New York since September 2, 2022.
