JOHN STAPLETON – SPARTAN CAPITAL SECURITIES, LLC Broker Has Pending Investor Complaints – May Recover Investor Losses
SPARTAN CAPITAL SECURITIES, LLC Broker, John Stapleton Has Pending Investor Complaints.
CRD#: 2791194
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John Joseph Stapleton (CRD #: 2791194) is currently the subject of a pending customer complaint, per his FINRA BrokerCheck report. Recent allegations include unauthorized trading, unsuitable investment recommendations, and excessive commission generation, with a complaint filed in June 2025 seeking $200,000 in damages. In a related pending matter from 2024, another investor alleges unsuitable private placement recommendations and seeks $375,000 in damages. Additionally, on February 18, 2025, FINRA made a preliminary determination recommending disciplinary action against Mr. Stapleton for excessive and unsuitable trading, citing breaches of FINRA Rules 2111, 2020, and 2010, Regulation Best Interest, and SEC Rule 10b-5 under the Securities Exchange Act of 1934. Investors who believe they have suffered losses due to Mr. Stapleton’s conduct—whether through unauthorized trades, unsuitable recommendations, or commission-related harm—should consider their legal options. The experienced securities attorneys at Goodman & Nekvasil, P.A. stand ready to assist affected clients in evaluating their rights and pursuing recovery through FINRA arbitration. If you were financially harmed, call Goodman & Nekvasil, P.A. at 800-500-4442 today to schedule a consultation.
JOHN JOSEPH STAPLETON (CRD#: 2791194), a broker for SPARTAN CAPITAL SECURITIES, LLC in GARDEN CITY, NY, has pending investor complaints. According to Stapleton’s FINRA BrokerCheck report, The most recent claimant allegations are: unsuitable trading activity, unauthorized transactions, and excessive commissions
The most recent complainants are demanding $200,000.00 for alleged damages.
SPARTAN CAPITAL SECURITIES, LLC Broker, John Stapleton Has Pending Investor Complaints.
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to their clients.
St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.
Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $500 million dollars on behalf of victimized investors.
We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.
There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained from FINRA on 9/8/25. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.