Spartan Capital Securities, a financial services firm offering wealth management, investment banking, and equity research to clients throughout the United States, specializes in wealth management.
Spartan Capital Securities has been at the center of numerous customer complaints and regulatory inquiries. Our attorneys have represented investors to recover investment losses against this brokerage firm.
John Lowry
John Lowry is the founder of Spartan Capital Securities, an investment services firm providing various investment products. With years of industry experience and a commitment to offering his clients superior service, John’s dedication is clear; not to mention his unique leadership style that provides valuable insights into business life.
He has held various senior-level roles in investment banking and business development during his career, as well as being responsible for overseeing numerous public and private finance transactions that raised over $100 billion total capital – such as initial public offerings of SPACs, equity line deals, follow-on offerings, registered direct offerings, CMPOs, at-the-market offerings and PIPEs.
He takes great pleasure in exercising and playing golf in his free time, is an avid supporter of veterans, volunteering his services at various local charitable events as well as contributing to the American Cancer Society. Additionally, he holds a bachelor’s degree from West Virginia University and belongs to both the American Financial Association and National Investors Association.
Jordan Meadow
Spartan Capital Securities Complaints has an ongoing record of regulatory issues and customer complaints. Since 2012, 6 FINRA-reported disciplinary proceedings have cited them with various forms of supervisory lapse.
These incidents were caused by the company’s slow response in disclosing disciplinary events such as customer complaints and arbitrations, along with failing to file required disclosure amendments for their stockbrokers.
Regardless, the company continues its goal of shattering barriers and revolutionising investing techniques by emphasizing variety, technology integration and customer focus.
Jordan Meadow has made numerous films, such as Amber Dreams and David Searching, as well as performing theatre. He has appeared in William Shakespeare’s play “The Tempest.” Additionally, Jordan appeared as one of the characters on 100 Centre Street television series.
Joe Rossetti
Joe Rossetti brings with him extensive corporate security and risk management experience. As Director of Worldwide Security at IBM, he was accountable for physical and investigations security programs such as personnel protection, asset and financial securities protection as well as trade secret protection for Department of Defense security purposes. Joe also serves on the boards of Kroll Associates and Security Technology.
Spartan Capital Securities provides investors with an array of investment solutions, including stocks, bonds, real estate, and commodities. Their comprehensive risk evaluation methods incorporate historical and predictive analytics in order to predict potential risks that might occur with each investment option they provide. They also offer environmentally conscious investment solutions which align with clients’ moral principles.
Spartan Capital Securities of New York is well known for their investment banking and equity research services, having worked on numerous public offerings, private placements and M&A financing transactions. They are members of the New York Stock Exchange as well as being subject to oversight from the Securities and Exchange Commission.
Advisory Services
Spartan Capital Securities offers a range of investment guidance services designed to help you meet your financial goals. Their advisory services cover investment portfolio management, private placements and initial public offerings (IPOs). Furthermore, the firm offers advice regarding mergers and acquisitions, bridge financings and mezzanine capital arrangements.
Spartan Capital Securities was accused of failing to disclose to their customers that 152 amendments related to customer initiated investment related arbitration claims had not been timely filed with 72 of the company’s stockbrokers. According to FINRA’s complaint against them, Spartan Capital Securities failed to adequately inform customers that these amendments had not been timely filed and would affect customer investments and arbitration claims initiated by those customers.
Though Spartan Capital Securities has some drawbacks, they still possess an outstanding track record for transparency and continuous improvement that builds trust between clients and company alike. Their commitment to improving allows clients to make well-informed decisions and receive advice from expert sources when necessary. Plus, many positive reviews and endorsements make this company an excellent option for first-time investors – however, it’s wise to first understand all potential pitfalls before selecting one as your brokerage firm of choice.
