Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Stevens (Stevens), previously associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stevens recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $41,916.00 on January 11, 2021.
Claimant alleges over concentration, unsuitability and excess trading.