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
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
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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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