KOSTAS TSAMOS 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.
KOSTAS TSAMOS has worked at SPARTAN CAPITAL SECURITIES, LLC since January 28, 2016
KOSTAS TSAMOS has 7 Disclosure Event(s).
Date: August 25, 2015 Category: Judgment / Lien Judgment/Lien Amount: $3,398.00 Judgment/Lien Type: Tax Broker Comment: I was informed by compliance of the hiring firm that I had a lien filed against me subsequent to a background check conducted for hiring purposes. I never received any notice otherwise. I have determined to disclose the lien to satisfy my obligations and will research the validity of the lien.
Date: February 10, 2015 Category: Judgment / Lien Judgment/Lien Amount: $24,661.00 Judgment/Lien Type: Tax Broker Comment: I was informed by compliance of the hiring firm that I had a lien filed against me subsequent to a background check conducted for hiring purposes. I never received any notice otherwise. I have determined to disclose the lien to satisfy my obligations and will research the validity of the lien.
Date: July 08, 2008 Category: Customer Dispute Allegations: CHURNING, EXCESSIVE TRADING, NEGLIGENCE, BREACH OF CONTRACT AND BREACH OF FIDUCIARY DUTY Damage Amount Requested: $345,582.00 Settlement Amount: $100,000.00 08-02152
Date: April 03, 2007 Category: Customer Dispute Allegations: CLIENT ALLEGES UNSUITABLE TRADES AND EXCESSIVE ACTIVITY. THE CLIENT HAS NO SPECIFIC TRADES OR DATES TO LIST. Damage Amount Requested: $100,000.00 Settlement Amount: $75,000.00 Broker Comment: THE ARBITRATION WAS SETTLED BY HUNTER SCOTT WITHOUT ANY ADMISSION OF WRONGDOING PRIMARILY TO AVOID THE EXPENSE OF ARBITRATING THIS MATTER IN SOUTH DAKOTA. MR. TSAMOS DENIED ALL ALLEGATIONS OF WRONGDOING CONTAINED IN THE STATEMENT OF CLAIM AND DID NOT CONTRIBUTE TO THE SETTLEMENT PAYMENT.
Date: March 11, 2003 Category: Customer Dispute Allegations: ALLEGES EXCESSIVE AND UNAUTHORIZED TRADING Damage Amount Requested: $70,000.00
Date: November 22, 2000 Category: Customer Dispute Allegations: ALLEAGATIONS ARE THAT BROKER CHURNED, MANIPULATED AND VICTIMIZED CLAIMANTS ACCOUNTS OR CONTRARY TO THE CLAIMANTSBEST FINANCIAL INTEREST. Damage Amount Requested: $47,291.00 Settlement Amount: $36,000.00
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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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