Tag Archives: Charles Gonzalez

Spartan Capital Broker Barred For Lying To Regulators

January 19, 2019  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

Charles Gonzalez of New York New York a stockbroker formerly employed by Spartan Capital Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he engaged in undisclosed outside business activities and falsified testimony to FINRA personnel in the course of […]

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