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: 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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