| Read Time: 2 minutes | Spartan Capital Securities Complaints |


Joseph Fuller Of Arive Capital Markets And Formerly With Worden Capital Management, Joseph Stone Capital And Cape Securities Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Joseph Fuller of Arive Capital Markets?

Joseph Fuller (CRD #5277097) who is currently registered with Arive Capital Markets and located in Bay Ridge, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Arive Capital Markets, Joseph Fuller was associated with Worden Capital Management, Joseph Stone Capital, Cape Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Joseph Fuller Customer Complaints

Joseph Fuller has been the subject of 2 customer complaints that we know about. One of Joseph Fuller’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Spartan Capital Securities for investment losses caused by Joseph Fuller’s alleged misconduct.

Allegations Against Joseph Fuller

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Customer alleged Joseph Fuller’s failure to follow instructions resulting in damages.
  • The claimants’ counsel alleged the following actions: churning, negligence & unsuitability, failure to supervise, unauthorized trading, breach of fiduciary duty, breach of contract, unjust enrichment, negligent misrepresentation and omissions, lost opportunity damages, and punitive damages.

Joseph Fuller Red Flags & Your Rights As An Investor

Of course, Joseph Fuller 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 Joseph Fuller at Arive Capital Markets, Worden Capital Management, Joseph Stone Capital, and Cape Securities on alert to review carefully the activity and performance of their accounts and question whether Joseph Fuller has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Arive Capital Markets, Worden Capital Management, Joseph Stone Capital, and Cape Securities also raises questions about the brokerage firms’ 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 Arive Capital Markets Due To Joseph Fuller

If you have questions about Arive Capital Markets, Worden Capital Management, Joseph Stone Capital, Cape Securities, and/or Joseph Fuller 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

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars