Jason M. Santini, of Garden City, New York, a stockbroker formerly registered with Spartan Capital Securities, LLC, is the subject of a customer initiated investment related arbitration claim on November 21, 2016, where the customer sought $27,376.99 in damages based upon allegations that Santini breached his fiduciary duties, negligently managed the customer’s investment portfolio, utilized the customer’s margin improperly, and overconcentrated the customer’s assets in equities.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on May 4, 2015, another customer filed an investment related arbitration claim regarding Santini’s activities, in which the customer requested $250,000.00 in damages based upon allegations that Santini made misrepresentations concerning equities, breached his fiduciary obligations, and committed fraud.
Since August 16, 2010, Santini has been associated with five different broker dealers, two of which have been expelled by securities regulators for violation of federal securities laws or are otherwise defunct.
Guiliano Law Group
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