RICHARD PERLONGO Suspended After FINRA Allegations – Goodman & Nekvasil, P.A., May Recover Investor Losses
SPARTAN CAPITAL SECURITIES, LLC broker, RICHARD PERLONGO Suspended After FINRA Allegations of excessively and unsuitably trading in a customer’s account.
CRD#: 4913481
RICHARD JOSEPH PERLONGO (CRD#: 4913481), a registered representative for SPARTAN CAPITAL SECURITIES, LLC in New York, NY, consented to a three-month suspension from associating with any FINRA member in all capacities, a $5,000.00 fine and and ordered to pay restitution of $18,925.
According to Perlongo’s FINRA BrokerCheck Report, Between October 2018 and September 2019, Perlongo excessively and unsuitably traded one customer’s account in violation of FINRA Rules 2111 and 2010. As a result, Perlongo is suspended for three months, fined $5,000, and ordered to pay restitution of $18,925.
RICHARD PERLONGO Suspended After FINRA Allegations of excessively and unsuitably trading in a customer’s account.
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 $400 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 2/28/25. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.