WARNING! Investigation of JAMES PECORARO of Spartan Capital

Israels & Neuman, PLC

James Pecoraro, with Spartan Capital Securities, Subject of FINRA Investigation

MELVILLE, NEW YORK

Have you invested and lost money with James Pecoraro, a financial advisor who previously worked with SW Financial and is now with Spartan Capital Securities? According to FINRA, James Pecoraro is under investigation for excessively trading or churning customers’ accounts. He is also under investigation for recommending unsuitable investment strategies, in violation of FINRA Rules 2111 and 2010.

James Pecoraro has been licensed as a securities broker since 2007. He has been with Spartan Capital Securities from November 2019 to the present, and he had also been with SW Financial from September 2016 to November 2019. He has worked in offices in Garden City and Melville, New York. Pecoraro has been the subject of 11 customer complaints, and five previous regulatory actions.

Securities brokerage firms like Spartan Capital Securities have various responsibilities when it comes to investment recommendations, but the primary rules that firms must follow are FINRA Rule 2111 (regarding suitability) and FINRA Rule 3110 (regarding supervision). If brokerage firms like Spartan Capital Securities or SW Financial fail to follow these rules, they could be liable for investor losses.

Israels & Neuman is a securities arbitration and investment fraud law firm that represents investors throughout the country. We have represented over 1,000 investors in the past against many brokerage firms.

View BrokerCheck Report: Pecoraro, j BrokerCheck 4.25.22

If you lost money with James Pecoraro or Spartan Capital Securities, please Contact Us at (720) 599-3505 or (206) 795-5798 for a free evaluation of your case.

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