Close Menu
Free Consultation: 888-976-6111

Louis Valdez: Complaint Against NYC Spartan Advisor Seeks $1 Million

New York City financial advisor Louis Valdez (CRD# 2926686) recently received an investor complaint alleging that his conducted resulted in seven-figure damages. Financial Industry Regulatory Authority records indicate that he is a broker with Spartan Capital Securities, having previously been registered with BlackBook Capital and Columbus Advisory Group.

Mr. Valdez’s BrokerCheck report discloses one investor complaint. Filed in November 2022, it alleges that as a representative of Spartan Capital Securities, he breached his fiduciary duty, breached contract, acted negligently, and failed in his supervisory duties in connection with a private placement investment. The pending complaint alleges damages of $1,000,000.

According to the Financial Industry Regulatory Authority, Louis Valdez holds 24 years of securities industry experience. Based in New York City, he has been a broker with Spartan Capital Securities since 2016. His registration history includes Blackbook Capital (NYC; 2015-2016), Columbus Advisory Group (NYC; 2013-2015), Empire Asset Management Company (NYC; 2013), John Carris Investments (Hoboken, New Jersey; 2011-2013), Joseph Gunnar & Company (NYC; 2010-2011), Westrock Advisors (NYC; 2008-2010), Capital Growth Financial (NYC; 2005-2008), Sky Capital (NYC; 2002-2005), National Securities Corporation (Boca Raton, Florida; 2002), Somerset Financial Group (Princeton, New Jersey; 2001-2002), Grayson Financial (Red Bank, New Jersey; 2001), Montrose Capital Management (NYC; 2000-2001), Coleman & Company Securities (NYC; 1998-2000), and Royal Hutton Securities Corporation (NYC; 1998). His credentials include the passage of four securities industry qualifying exams: the Corporate Securities Limited Representative Examination, or Series 62; the Securities Industry Essentials Examination, or SIE; the Securities Industry Essentials Examination, or Series 7TO; and the Uniform Securities Agent State Law Examination, or Series 63. He is licensed in California, Colorado, the District of Columbia, Florida, Georgia, Hawaii, Minnesota, New Jersey, New York, Pennsylvania, and Texas. (Information current as of February 15, 2023.)

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.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
protected by reCAPTCHA Privacy - Terms
Latest Blog Posts
  • Robert Alegria: Bond Complaint Against Morgan Stanley Advisor

    Miami financial advisor Robert Alegria (CRD# 5978340) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory...

    Read More
  • Janet Gordon: $1.4mm Complaint Against Ex-Morgan Stanley Advisor

    A recent investor complaint against Coral Gables, Florida financial advisor Janet Gordon (CRD# 1114409) alleges that her advice resulted in...

    Read More
  • David McQuade: High Bluff Advisor Faces Investor Complaint

    San Diego, California financial advisor David McQuade (CRD# 3118389) allegedly failed to follow a customer’s instructions, according to a recent...

    Read More
  • Statement Concerning Recent Reports About Our Client, Reshad Jones:

    “This is yet another troubling example of a professional athlete being exploited by a wealth management firm he trusted. In...

    Read More
  • Previous
  • Next