Barry Jin, of New York, New York, a stockbroker formerly registered with Spartan Capital Securities, LLC, has been named in a customer initiated investment related written complaint on September 5, 2016, in which the customer requested $13,422.00 in damages based upon allegations that Jin effected options trades in the customer’s account without authorization.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Jin has been identified in five additional customer initiated investment related disputes containing allegations of Jin’s misconduct while employed with Aegis Capital Corp., Spartan Capital Securities, LLC, and PHX Financial, Inc. Particularly, on December 31, 2014, a customer filed a written complaint involving Jin’s conduct, in which the customer requested $24,250.00 in damages based upon allegations that Jin effected unauthorized trades in the customer’s account.
Subsequently, on March 3, 2016, a customer initiated investment related written complaint regarding Jin’s activities was settled for $20,000.00 in damages based upon allegations that Jin placed over-the-counter equity trades in the customer’s account without the customer’s approval. On September 1, 2016, another customer filed an investment related written complaint regarding Jin’s conduct, in which the customer requested $9,614.00 in damages based upon allegations that Jin effected unauthorized stock trades in the customer’s account.
Since May 10, 2007, Jin has been associated with seven different broker dealers, four of which has been expelled by securities regulators for violation of federal securities laws or is otherwise defunct. #cockroach
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
