DID JOHN JOSEPH STAPLETON CAUSE YOU INVESTMENT LOSSES?
John Stapleton Of Spartan Capital Securities, LLC Has 5 Customer Complaints For Alleged Broker Misconduct
Who is John Stapleton of Spartan Capital Securities, LLC?
John Stapleton (CRD #2791194) who is currently registered with Spartan Capital Securities, LLC and located in Garden City, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Spartan Capital Securities, LLC, John Stapleton was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.Investment Losses? Let’s talk.
or, give us a ring at (800) 732-2889.
John Stapleton Customer Complaints
John Stapleton has been the subject of 5 customer complaints that we know about to recover investment losses. One customer complaint proceeded to arbitration and resulted in an arbitration award in favor of the investor. Three of the customer complaints were settled by John Stapleton’s current and former employers in favor of the investors. There is currently one customer complaint pending against John Stapleton’s former employers for his alleged misconduct.
Allegations Against John Stapleton
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Unsuitable investment recommendations in breach of fiduciary duty.
- Failure to fully explain the nature mechanics and risks of margin trading and option trading in customer’s account.
- Misrepresentation and unsuitable investment recommendations.
John Stapleton Red Flags & Your Rights As An Investor
Of course, John Stapleton 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 Stapleton at Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether John Stapleton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities, LLC 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.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.Need Legal Help? Let’s talk.
or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Spartan Capital Securities, LLC Due To John Stapleton
If you have questions about Spartan Capital Securities, LLC and/or John Stapleton 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.