JOHN JOSEPH STAPLETON is currently employed as a Broker and/or Investment Adviser at SPARTAN CAPITAL SECURITIES, LLC located at 595 STEWART AVENUE, 8TH FLOOR, GARDEN CITY, NY, 11530.
JOHN JOSEPH STAPLETON has worked at SPARTAN CAPITAL SECURITIES, LLC since November 04, 2015
Disclosure History
JOHN JOSEPH STAPLETON has 12 Disclosure Event(s).
Date: January 03, 2017 Category: Customer Dispute Allegations: Claimant alleges unsuitability. Damage Amount Requested: $48,223.26 Damages Granted: $20,600.00 Broker Comment: The unsupported allegations are a specious attempt of a customer to recover losses from a recommendation by his former registered representative. Applicant is solely named in the claim because he inherited the account and was not the broker of record when the purchase occurred Applicant intends to vehemently defend himself.
Date: April 16, 2014 Category: Judgment / Lien Judgment/Lien Amount: $105,791.24 Judgment/Lien Type: Tax Broker Comment: PAYMENT PLAN IN PLACE, NEGOTIATIONS ARE ON GOING.
Date: December 06, 2013 Category: Judgment / Lien Judgment/Lien Amount: $12,478.50 Judgment/Lien Type: Tax Broker Comment: PAYMENT PLAN IN PLACE, NEGOTIATIONS ARE ON GOING.
Date: November 15, 2012 Category: Financial Type: No longer Compromise now Judgment Disposition: Now Judgment Broker Comment: Found out about the change from Compromise to Judgment on Aug 10 2016
Date: July 03, 2012 Category: Customer Dispute Allegations: FROM OCCURANCES THAT TOOK PLACE IN 2005-2007 INCLUDING UAT, MISREPRESENTATION AND UNSUITABLE INVESTMENTS. Damage Amount Requested: $1,200,000.00 Settlement Amount: $250,000.00 Broker Comment: RESPONDENT POINT CAPITAL SETTLED THE MATTER IN ORDER TO AVOID THE COSTS AND VAGARIES OF ARBITRATION. RESPONDENT STAPLETON DID NOT PARTICIPATE FINANCIALLY IN THE SETTLEMENT AND BELIEVES THAT CLAIMANT'S SIGNED AFFIDAVIT (WHICH WAS EXECUTED CONTEMPORANEOUSLY WITH HIS ACCOUNT ACTIVITY) ACCURATELY REFLECTED HIS INVESTMENTS EXPERIENCE AND INVESTMENT OBJECTIVES.
Date: April 23, 2012 Category: Judgment / Lien Judgment/Lien Amount: $1,592.00 Judgment/Lien Type: Civil Broker Comment: I ONLY BECAME AWARE OF THIS MATTER WHEN I RECEIVED A LETTER FROM FINRA. I AM ACTIVELY PURSUING A RESOLUTION TO THIS MATTER.
Date: January 25, 2012 Category: Judgment / Lien Judgment/Lien Amount: $9,642.00 Judgment/Lien Type: Civil Broker Comment: I ONLY BECAME AWARE OF THIS MATTER WHEN I RECEIVED A LETTER FROM FINRA. I AM ACTIVELY PURSUING A RESOLUTION TO THIS MATTER.
Date: August 10, 2010 Category: Judgment / Lien Judgment/Lien Amount: $121,506.88 Judgment/Lien Type: Tax Broker Comment: A MONTHLY PAYMENT PLAN HAS BEEN ESTABLISHED TO BEGIN OCTOBER 1, 2010.
Date: March 27, 2009 Category: Judgment / Lien Judgment/Lien Amount: $11,180.00 Judgment/Lien Type: Civil Broker Comment: I ONLY BECAME AWARE OF THIS MATTER WHEN I RECEIVED A LETTER FROM FINRA. I AM ACTIVELY PURSUING A RESOLUTION TO THIS MATTER.
Date: August 10, 2005 Category: Regulatory
Date: August 20, 2002 Category: Customer Dispute Allegations: CLIENT ALLEGES MR. STAPLETON DID NOT FULLY EXPLAIN THE USE OF MARGIN AND OPTIONS IN HIS ACCOUNT. HE ALSO ALLEGES MR. STAPLETON MISREPRESENTED THE RISKS ASSOCIATED WITH THE INVESTMENT STRATEGY THAT WAS EMPLOYED IN THE ACCOUNT. Damage Amount Requested: $63,000.00 Settlement Amount: $23,000.00 Broker Comment: THIS MATTER SETTLED WITH NO CONTRIBUTION FROM THE REGISTERED REP.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
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