SPARTAN CAPITAL SECURITIES

Broker Kim Monchik in Spartan Capital Securities, LLC Firm Has Customer Complaint

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kim Monchik (Monchik), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Monchik recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on May 27, 2025.

Respondeat superior

Broker Travis Lippmann in Spartan Capital Securities, LLC Firm Has Customer Complaint

June 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Travis Lippmann (Lippmann), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lippmann recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 05, 2024.

Alleged Alligations: Respondent is responsible for Securities Law, SEC Regulations & Industry Rules, Failure to Supervise & Negligent Supervision, Breach of fiduciary Duty

There are Recent Customer Complaints with Broker Kim Monchik in Firm Spartan Capital Securities, LLC

June 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kim Monchik (Monchik), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Monchik recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 13, 2025.

Failure to Supervise

Broker Scott Hechler in Spartan Capital Securities, LLC Firm Has Customer Complaint

May 24, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Scott Hechler (Hechler), currently associated with Spartan Capital Securities, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Hechler concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint on March 25, 2024.

Time Frame: Not specified. Alleged Allegations: Statement of Claim (SOC) filed by 36 Different (Individuals) Claimants. All stating the same allegations of unsuitability, excessive trading/commissions, unauthorized trading negligence.

There are Recent Customer Complaints with Broker Jordan Meadow in Firm Spartan Capital Securities, LLC

May 20, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jordan Meadow (Meadow), previously associated with Spartan Capital Securities, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Meadow concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint on March 13, 2025.

Churning, Unsuitable trading, Misrepresentation

Broker John Lowry in Spartan Capital Securities, LLC Firm Has Customer Complaint

May 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Lowry (Lowry), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lowry recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 13, 2025.

Failure to supervise

Broker Jesse Krapf in Spartan Capital Securities, LLC Firm Has Customer Complaint

May 16, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jesse Krapf (Krapf), previously associated with Spartan Capital Securities, LLC, has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Krapf concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint on April 02, 2025.

Time Frame: 01.2023 to 12.2024. Excessive trading, Churning, Unsuitable investments, Failure to supervise

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

April 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Stapleton (Stapleton), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stapleton recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $375,000.00 on July 16, 2024.

Fraud, Unsuitability, Negligent Failure to Supervise, Misrepresentation and Omissions

There are Recent Customer Complaints with Broker Robert Rotunno in Firm Spartan Capital Securities, LLC

April 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Rotunno (Rotunno), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rotunno recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $251,250.00 on February 25, 2025.

Customer alleges 1 unsuitable product sold at Tigress Financial Partners in 2019. The other allegations occurred at different Firms not named in the Arbitration. The Arbitration also names National Securities Corporation as a Respondent.

Broker John Christoforidis in Spartan Capital Securities, LLC Firm Has Customer Complaint

April 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Christoforidis (Christoforidis), previously associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one regulatory event, alleging that Christoforidis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 12, 2024.

Without admitting or denying the findings, Christoforidis consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into potential sales practice violations.