James Pecoraro

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/15/2025: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2018056490335 Department of Enforcement, Complainant, v. Spartan Capital Securities, LLC, CRD No. 146251, Kim M. Monchik CRD No. 2528972, Frederick Joseph Cammarano III CRD No. 2277307, James Pecoraro CRD No. 2440231, John Stapleton CRD No. 2791194, Michael Darvish CRD No. 3243141, Respondents. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. For more than four years, Spartan Capital Securities, LLC, defrauded customers by engaging in widespread churning, generating millions in revenue and causing customers millions in harm. Spartan’s business model depended on this misconduct – approximately two thirds of the firm’s trading revenue and one-third of its overall revenue, more than $46 million in total, was generated from more than 1,200 accounts with a cost-to-equity ratio greater than 20% from January 2018 to April 2022…
Reference 2018056490335data-portal.finra.org finra.org

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