Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Manning (Manning), previously associated with Spartan Capital Securities, LLC, has at least 2 disclosable events. These events include 2 regulatory, alleging that Manning recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on January 06, 2025.
Respondent Manning failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.