Carlos Hurtado, formerly with Spartan Capital Securities, Barred by FINRA

NEW YORK, NY –  Have you lost money with financial advisor Carlos A. Hurtado. of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Carlos Hurtado.  FINRA barred Hurtado after he failed to respond to an investigation.  Hurtado was being investigated regarding allegations that he engaged in a private securities transaction.

Carlos Hurtado was a financial advisor and registered representative of Spartan Capital Securities from April 2018 to June 2021.  He worked at a branch office in New York, New York.

Brokerage firms like Spartan Capital Securities have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Phoenix, Arizona; Seattle, Washington; and Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New York in the past.  Our attorneys have represented over one thousand investors against many brokerage firms in the past.

View FINRA AWC:  Hurtado, C. FINRA AWC

View BrokerCheck:  Hurtado, C. BrokerCheck 6.23.21

If you lost money with Carlos Hurtado or Spartan Capital Securities, please CONTACT ISRAELS & NEUMAN at 720-599-3505 or 206-795-5798 for a free evaluation of your case.