Articles Tagged with John Phillips

There are Recent Customer Complaints with Broker John Phillips in Firm Spartan Capital Securities, LLC

April 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Phillips (Phillips), previously associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Phillips 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 $200,000.00 on June 30, 2020.

Time Frame: July 2014\<char_lb_r>\, Allegations: Unsuitable Investments

Broker John Phillips in Metlife Securities INC. Firm Has Customer Complaint

January 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Phillips (Phillips), previously associated with Metlife Securities INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Phillips recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on October 29, 2021.

The complainant alleges that in or around 2006/2007, the rep made false statements and omitted known material facts in order to intentionally deceive the complainant when the rep advised him to sell the shares that the complainant held in the company CB&B.