TERRY TZAGARAKIS

TERRY TZAGARAKIS 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.

TERRY TZAGARAKIS has worked at SPARTAN CAPITAL SECURITIES, LLC since January 10, 2013

Disclosure History

TERRY TZAGARAKIS has 13 Disclosure Event(s).

Date: March 09, 2016
Category: Judgment / Lien
Judgment/Lien Amount: $73,681.24
Judgment/Lien Type: Tax
Broker Comment: Found out pursuant to new credit review.

Date: August 13, 2013
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES UNAUTHORIZED USE OF MARGIN RESULTING IN DAMAGES OF APPROXIMATELY $11,000.00.
Damage Amount Requested: $11,000.00
Settlement Amount: $6,000.00

Date: September 24, 2012
Category: Customer Dispute
Allegations: EXCESSIVE AND UNAUTHORIZED TRADING
Damage Amount Requested: $28,173.00

Date: March 20, 2012
Category: Judgment / Lien
Judgment/Lien Amount: $65,554.00
Judgment/Lien Type: Tax
Broker Comment: APPLICANT ONLY LEARNED OF JUDGMENT WHEN NOTIFIED BY FINRA AND BELIEVES THAT IT DUE TO STOLEN IDENTITY AND TRYING TO CLEAR UP THE INACCURACY ON HIS CREDIT REPORT.

Date: July 24, 2011
Category: Judgment / Lien
Judgment/Lien Amount: $5,174.00
Judgment/Lien Type: Tax
Broker Comment: APPLICANT ONLY LEARNED OF JUDGMENT WHEN NOTIFIED BY FINRA AND BELIEVES THAT IT DUE TO STOLEN IDENTITY AND TRYING TO CLEAR UP THE INACCURACY ON HIS CREDIT REPORT.

Date: March 11, 2008
Category: Judgment / Lien
Judgment/Lien Amount: $7,623.00
Judgment/Lien Type: Civil
Broker Comment: APPLICANT ONLY LEARNED OF JUDGMENT WHEN NOTIFIED BY FINRA AND BELIEVES THAT IT DUE TO STOLEN IDENTITY AND TRYING TO CLEAR UP THE INACCURACY ON HIS CREDIT REPORT.

Date: January 08, 2008
Category: Customer Dispute
Allegations: UNATHORIZED TRADING, CHURNING, SUITABILITY
Damage Amount Requested: $6,700.00

Date: September 20, 2007
Category: Customer Dispute
Allegations: INVESTMENT LOSSES,
Damage Amount Requested: $48,000.00
Settlement Amount: $22,500.00 08-02222

Date: November 01, 2006
Category: Judgment / Lien
Judgment/Lien Amount: $5,624.00
Judgment/Lien Type: Civil
Broker Comment: APPLICANT ONLY LEARNED OF JUDGMENT WHEN NOTIFIED BY FINRA AND BELIEVES THAT IT DUE TO STOLEN IDENTITY AND TRYING TO CLEAR UP THE INACCURACY ON HIS CREDIT REPORT.

Date: January 24, 2006
Category: Judgment / Lien
Judgment/Lien Amount: $2,967.00
Judgment/Lien Type: Civil
Broker Comment: APPLICANT ONLY LEARNED OF JUDGMENT WHEN NOTIFIED BY FINRA AND BELIEVES THAT IT DUE TO STOLEN IDENTITY AND TRYING TO CLEAR UP THE INACCURACY ON HIS CREDIT REPORT.

Date: January 10, 2006
Category: Judgment / Lien
Judgment/Lien Amount: $4,723.00
Judgment/Lien Type: Civil
Broker Comment: APPLICANT ONLY LEARNED OF JUDGMENT WHEN NOTIFIED BY FINRA AND BELIEVES THAT IT DUE TO STOLEN IDENTITY AND TRYING TO CLEAR UP THE INACCURACY ON HIS CREDIT REPORT.

Date: January 10, 2006
Category: Judgment / Lien
Judgment/Lien Amount: $4,683.00
Judgment/Lien Type: Civil
Broker Comment: APPLICANT ONLY LEARNED OF JUDGMENT WHEN NOTIFIED BY FINRA AND BELIEVES THAT IT DUE TO STOLEN IDENTITY AND TRYING TO CLEAR UP THE INACCURACY ON HIS CREDIT REPORT.

Date: May 04, 2001
Category: Customer Dispute
Allegations: ALLEGED FAILURE TO ENTER STOP LOSS ORDER.
Damage Amount Requested: $11,811.26
Settlement Amount: $9,647.51

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.

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