Did You Lose Money Because of John Stapleton?
Filed: January 16, 2024
John Stapleton currently has two (2) pending customer complaints and ten (10) pending judgment/lien events. Overall, he has been the subject of one (1) regulatory event, six (6) customer complaints and ten (10) judgment/lien events. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on John Joseph Stapleton.
Who Is John Joseph Stapleton of Spartan Capital Securities, LLC?
- Advisor Name: John Joseph Stapleton
- Aliases: John Stapleton
- CRD: 2791194
- Location: Garden City, New York
- Current Employer: Spartan Capital Securities, LLC
- Previous Firms: Craig Scott Capital, LLC, Rockwell Global Capital LLC, and JHS Capital Advisors, Inc.
- Number of Known Customer Complaints: 6
- Number of Known Regulatory Events: 1
- Number of Known Judgment/Lien Events: 10
- Can John Stapleton Be Sued: Yes, in Private Arbitration
- Can John Stapleton’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $1,200,000
- Highest Settlement: $250,000
If you have suffered investment losses by John Stapleton, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against John Stapleton For Broker Misconduct
As of this publication date, John Stapleton has been the subject of 1 regulatory event, 6 customer disputes and 10 judgment/lien events. Let’s review them below.
In August 2023, a FINRA arbitration was filed against or in reference to John Stapleton by a customer of Spartan Capital Securities, LLC alleging negligence and unsuitability, and failure to supervise. Per the customer, he/she lost over $84,688 because of Mr. Stapleton’s actions. As of this publication date, this complaint remains pending.
In December 2021, a FINRA arbitration was filed against or in reference to John Stapleton by a customer of Craig Scott Capital, LLC, Rockwell Global Capital LLC, and JHS Capital Advisors, Inc. alleging unsuitable investments, breach of fiduciary duty, and breach of contractual requirements. Per the customer, he/she lost over $350,000 because of Mr. Stapleton’s actions. As of this publication date, this complaint remains pending.
In January 2020, a FINRA arbitration was filed against or in reference to John Stapleton by a customer of Spartan Capital Securities, LLC alleging misrepresentation and unsuitable recommendations. Per the customer, he/she lost over $25,445 because of Mr. Stapleton’s actions. On February 22, 2022, Mr. Stapleton settled the claim for $10,000, and some or all of this amount may have been paid by Mr. Stapleton’s employer and/or insurance carrier.
In August 2019, John Stapleton was the subject of a civil judgment or lien in the amount of $1,547.24. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.
In February 2017, John Stapleton was the subject of a civil judgment or lien in the amount of $1,372. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.
In January 2017, a FINRA arbitration was filed against or in reference to John Stapleton by a customer of Craig Scott Capital, LLC and Spartan Capital Securities alleging unsuitability. Per the customer, he/she lost over $48,223.26 because of Mr. Stapleton’s actions. An arbitration panel found that John Stapleton was negligent and awarded $20,600 in favor of the customers.
In January 2017, John Stapleton was the subject of a civil judgment or lien in the amount of $7,823.47. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.
In May 2016, John Stapleton was the subject of a civil judgment or lien in the amount of $14,048. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.
In April 2014, John Stapleton was the subject of a civil judgment or lien in the amount of $105,791.24. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.
In December 2013, John Stapleton was the subject of a civil judgment or lien in the amount of $12,478.50. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.
In July 2012, a FINRA arbitration was filed against or in reference to John Stapleton by a customer of JHS Capital Advisors, Inc. alleging misrepresentation and unsuitable investments. Per the customer, he/she lost over $1,200,000 because of Mr. Stapleton’s actions. On November 21, 2013, Mr. Stapleton settled the claim for $250,000, and some or all of this amount may have been paid by Mr. Stapleton’s employer and/or insurance carrier.
In April 2012, John Stapleton was the subject of a civil judgment or lien in the amount of $1,592. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.
In January 2012, John Stapleton was the subject of a civil judgment or lien in the amount of $9,642. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.
In August 2010, John Stapleton was the subject of a civil judgment or lien in the amount of $121,506.88. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.
In March 2009, John Stapleton was the subject of a civil judgment or lien in the amount of $11,180. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.
In August 2005, NASD initiated a regulatory action against or in reference to John Stapleton for effecting or causing to be effected purchases and sale transactions in the customer’s account.
In August 2002, a FINRA arbitration was filed against or in reference to John Stapleton by a customer of Continental Broker-Dealer Corp. alleging that Mr. Stapleton did not fully explain the use of margin and options in his account. The clients also alleges that Mr. Stapleton misrepresented the risks associated with the investment strategy that was employed in the account. Per the customer, he/she lost over $63,000 because of Mr. Stapleton’s actions. On September 18, 2003, Mr. Stapleton settled the claim for $23,000, and some or all of this amount may have been paid by Mr. Stapleton’s employer and/or insurance carrier.
How To File A Claim Against John Stapleton of Spartan Capital Securities, LLC (previously with Craig Scott Capital, LLC, Rockwell Global Capital LLC, and JHS Capital Advisors, Inc.) To Get Your Money Back
If you have questions about John Stapleton, Spartan Capital Securities, LLC, Craig Scott Capital, LLC, Rockwell Global Capital LLC, JHS Capital Advisors, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll free at 1-800-950-6553.
