Tag Archives: John M. Cullen

Investors Bring FINRA Claim Against Spartan Capital For Unsuitable Recommendations

May 31, 2021  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on Investors Bring FINRA Claim Against Spartan Capital For Unsuitable Recommendations

John M. Cullen of Garden City New York a stockbroker currently registered with Spartan Capital Securities is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $336,948.00 in damages based upon accusations that Cullen provided unsuitable recommendations to the customer during the time that Cullen was associated […]

Read More »

Spartan Capital Sued By Investors For Overconcentration

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 […]

Read More »