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Category Spartan Capital

Spartan Capital Securities Broker Christopher Orlando Barred by FINRA After Allegations of Unsuitability and Churning in Customer Accounts

July 23, 2021

Christopher Orlando (CRD#: 4136262) was a previously registered Broker at Spartan Capital Securities, LLC in New York, NY. He entered the securities industry in 2002 and previously worked for St. Bernard Financial Services, Inc.; Worden Capital Management, LLC; Legend Securities, Inc.; National Securities Corporation; Joseph Gunnar & Co., LLC; Brookstone Securities, Inc.; J.P. Turner &…

FINRA Has Brought An Enforcement Action Against Spartan Capital Broker, James Flower, For Excessive Trading

April 10, 2020

James Flower a/k/a Jim Flower (CRD # 2817701) is a Financial Advisor at Spartan Securities in Garden City, New York. James Flower a/k/a Jim Flower has been in the securities industry since 1997 and previously worked for a number of brokerage firms, including ten brokerage firms that have been expelled from the industry by FINRA.…

Spartan Capital Securities Broker, Albert Foronda, Sanctioned By FINRA For Allegedly Effecting Unauthorized Transactions In Customer Accounts

January 31, 2020

Albert Foronda (CRD # 5737620) is a Financial Advisor at Spartan Capital Securities, LLC in New York, NY. Albert Foronda has been in the securities industry since since 2010, and previously worked at Worden Capital Management LLC, Legend Securities, Inc. and National Securities Corporation. According to publicly available records released by the Financial Industry Regulatory…

Financial Advisor, Albert Foronda, Receives A Wells Notice From FINRA, Recommending Disciplinary Action

December 12, 2019

Albert Foronda (CRD # 5737620) was a former Financial Advisor at Worden Capital Management in New York, NY. Since 2017, Albert Foronda has worked at Spartan Capital Securities. Albert Foronda has been in the securities industry since 2010. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on November 8, 2019,…

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