JOSEPH C. DESAPIO is currently employed as a Broker and/or Investment Adviser at SPARTAN CAPITAL SECURITIES, LLC located at 45 BROADWAY, 9TH FLOOR, NEW YORK, NY, 10006.
JOSEPH C. DESAPIO has worked at SPARTAN CAPITAL SECURITIES, LLC since May 05, 2017
Disclosure History
JOSEPH C. DESAPIO has 6 Disclosure Event(s).
Date: January 23, 2017 Category: Judgment / Lien Judgment/Lien Amount: $15,000.00 Judgment/Lien Type: Civil Broker Comment: I was unaware of this judgment filed against me until I was asked about it during an interview with a FINRA examiner. I believe that this judgment was improperly granted, and now that I am aware of it, I will be vigorously fighting to have this judgment vacated.
Date: April 30, 2015 Category: Judgment / Lien Judgment/Lien Amount: $400.00 Judgment/Lien Type: Tax Broker Comment: I learned of this tax lien during an interview with a FINRA examiner. I believe that I paid the amount associated with this lien prior to this date but lost most of my records due to a flood.
Date: February 18, 2015 Category: Judgment / Lien Judgment/Lien Amount: $9,617.28 Judgment/Lien Type: Civil Broker Comment: REP IS IN CONTACT WITH MIDLAND FUNDING WORKING ON A SOLUTION.
Date: January 09, 2014 Category: Judgment / Lien Judgment/Lien Amount: $5,117.00 Judgment/Lien Type: Civil Broker Comment: REP JUST LEARNED OF THIS JUDGMENT IN JUNE 2015 AND HAS BEEN IN TOUCH WITH THE COMPANY, THEY ARE WORKING ON A RESOLUTION.
Date: July 29, 2011 Category: Customer Dispute Allegations: POOR PERFORMANCE AND EXCESSIVE COMMISSIONS Damage Amount Requested: $12,380.00 Settlement Amount: $6,000.00
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.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for JOSEPH C. DESAPIO, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.