Erez Law is currently investigating Spartan Capital Securities, LLC broker Joao Pinto (CRD# 6298233), who faces a customer complaint for misrepresentations, omissions, and negligence. He has been registered with Spartan Capital Securities, LLC in New York, New York, since 2019. Previously, he was registered with Benchmark Investments, Inc. in New York, New York, from February to October 2019. Before then, he was registered with Newbridge Securities Corporation in New York, New York, from 2014 to 2019.
Joao Pinto Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
October 2022. “Time Frame: 11/2019 Misrepresentation & Omission, Negligence, Churning, Failure to Supervise.” The customer is seeking $268,386 in damages, and the case is currently pending. The complaint was regarding equity OTC and common and preferred stocks, and it took place while he was registered with Spartan Capital Securities, LLC.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Spartan Capital Securities, LLC may be liable for investment or other losses suffered by Joao Pinto’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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