Tag Archives: Spartan Capital Securities

Spartan Capital Named In FINRA Securities Arbitration

February 02, 2017  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   0 Comments

Kerry Patrick Raheb, a stockbroker formerly registered with the Garden City, New York office of Spartan Capital Securities, LLC, has been named in a customer initiated investment related written complaint on July 21, 2014, in which the customer requested $37,214.99 in damages based upon allegations that Raheb coerced the customer to purchase over-the-counter equities which […]

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McClintock Former Employer Named in Securities Arbitration

Caeron Arlington McClintock, of New York, New York, a broker formerly registered with EJ Sterling, has been named in a customer initiated investment related arbitration claim on November 22, 2016, in which the customer has requested $135,593.00 in damages based upon allegations that McClintock breached his fiduciary and contractual duties to the customer, churned the […]

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PHX Financial Stockbroker Named in Customer Suitability Claim

Marc A. Reda, of New York, New York, a stockbroker formerly with PHX Financial, Inc. is the subject of a customer intiated, investment related dispute where Reda was alleged to to have breached his fiduciary duty and made unsuitable investment recommendations. FINRA Public Disclosure records reveal that Reda has been previously subject to nine customer […]

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