| Read Time: 2 minutes |

DID JOHN RAYMOND PHILLIPS CAUSE YOU INVESTMENT LOSSES?

John Phillips Formerly With Spartan Capital Securities Has A Customer Complaint For Alleged Broker Misconduct

Who is John Phillips formerly with Spartan Capital Securities?

John Phillips (CRD #4954042) who was formerly registered with Spartan Capital Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.

John Phillips Customer Complaint

John Phillips has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were unsuitable investments. The customer complaint filed against John Phillips’ former employer Spartan Capital Securities for investment losses caused by the alleged misconduct is pending as of the date of this report.

John Phillips Red Flags & Your Rights As An Investor

Of course, John Phillips did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of John Phillips at Spartan Capital Securities on alert to review carefully the activity and performance of their accounts and question whether John Phillips has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Spartan Capital Securities Due To John Phillips

If you have questions about Spartan Capital Securities and/or John Phillips and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Author Photo

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars
Loading...