Articles Tagged with Travis Lippmann

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 pending customer complaint with a damage request of $607,052.00 on September 11, 2025.

Gross mishandling and unauthorized reallocaion of claimants portfolio philosphy

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