Spartan Capital Securities » News for Investors

What Are the Complaints & Regulatory Actions Against Spartan Capital Securities?

Jeff Sonn
May 03, 2024
Posted in Broker / Advisor Investigations

Spartan Capital Securities has garnered regulatory and investor scrutiny due to numerous complaints and regulatory actions that spotlight its trading and compliance issues, including churning,[...]

Albert Foronda, Formerly of Worden Capital Management, Under FINRA Investigation

Jeffrey Sonn
Dec 19, 2019
Posted in Broker / Advisor Investigations

Foronda is facing an investigation after a preliminary determination that he violated FINRA Rules. The Sonn Law Group is investigating allegations that Albert Foronda committed[...]

Broker Investigation: Charles Gonzalez Barred For Non-Compliance with FINRA Investigation

Jeffrey Sonn
Jan 15, 2019
Posted in Investment Loss Investigations

On January 9, Charles Gonzalez (CRD#: 4330269) settled allegations in a FINRA investigation. As a part of the disciplinary action, he signed a Letter of[...]