Garden City, New York financial advisor Nicholas Buttler (CRD# 7080008) recently received an investor complaint alleging he made unauthorized transactions....
Read MoreNicholas Buttler: $200K Complaint Against Spartan Advisor
Garden City, New York financial advisor Nicholas Buttler (CRD# 7080008) recently received an investor complaint alleging he made unauthorized transactions. Financial Industry Regulatory Authority records show that he is registered as a broker with Spartan Capital Securities.
Mr. Buttler’s BrokerCheck report discloses one investor complaint. Filed in June 2025, it alleges that as a representative of Spartan Capital Securities, he made unsuitable trades, executed unauthorized transactions, and charged excessive commissions. The pending complaint alleges damages of $200,000.
In a statement included with the complaint’s disclosure, Mr. Buttler “vehemently” denied the claim. “The allegations are false,” he wrote, adding that he “intends to defend the matter vigorously.”
Spartan Capital Securities’ website includes a page describing the firm’s background and philosophy. “Our in-depth market knowledge, calculated risk management strategy and investment acumen have earned us a strong reputation as trusted Financial Advisors,” it explains. “Our philosophy is simple: Understand our clients’ objectives and execute accordingly. Our experienced investment professionals provide highly customized personal service, tailoring an asset allocation program to enable each client to meet their financial goals.”
According to the Financial Industry Regulatory Authority, Nicholas Buttler holds six years of securities industry experience. Based in Garden City, New York, he has been registered as a broker with Spartan Capital Securities since 2019. His credentials include the passage of three securities industry qualifying exams: the Uniform Securities Agent State Law Examination, or Series 63; the Securities Industry Essentials Examination, or SIE; and the General Securities Representative Examination, or Series 7TO.. He is licensed in California, Indiana, Iowa, Kansas, Kentucky, Louisiana, Minnesota, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, South Carolina, Texas, and Washington. (Information current as of July 13, 2025.)
Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.
