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Juan Alejos Formerly With Spartan Capital Securities Has 5 Customer Complaints For Alleged Broker Misconduct

Who is Juan Alejos formerly with Spartan Capital Securities?

Juan Alejos (CRD #4108723) 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.

Juan Alejos has been the subject of several regulatory investigations, including, FINRA, and its predecessor, NASD, states of Illinois and Utah.  Most recent regulatory investigation by FINRA resulted in a permanent bar association with any member firm in any capacity for failure to respond to FINRA’s request for information.

Juan Alejos Customer Complaints

Juan Alejos has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Juan Alejos’ 5 customer complaints were settled in favor of investors. One of Juan Alejos’ customers’ complaints was denied and, to date, the customers had not taken any further action. There are currently two pending customer complaints filed against Spartan Capital Securities for investment losses caused by Juan Alejos’ alleged misconduct.

Allegations Against Juan Alejos

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

  • Claimant alleged unauthorized trading by Juan Alejos.
  • Customer alleged that Juan Alejos’ purchase of 2000 shares of CSUN was unauthorized.
  • Customer asserts that Juan Alejos’ alleged purchase of 2000 shares China Development Group was unauthorized.
  • Unsuitable investment recommendations allegedly made by Juan Alejos.

Juan Alejos Red Flags & Your Rights As An Investor

Of course, Juan Alejos 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 Juan Alejos at Spartan Capital Securities on alert to review carefully the activity and performance of their accounts and question whether Juan Alejos 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 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 Spartan Capital Securities Due To Juan Alejos

If you have questions about Spartan Capital Securities and/or Juan Alejos 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.

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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.

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