Investor Seeks $1 Million in Damages in Dispute with Jose Valdez

Jose Valdez (CRD #: 2926686), a broker registered with Spartan Capital Securities, is involved in a pending dispute, according to his BrokerCheck record, accessed on January 26, 2023. If you have questions about his alleged conduct as a broker, keep reading.

Investor Dispute

On November 14, 2022, an investor named Jose Valdez in allegations of negligence, failure to supervise, and breach of contract. The client seeks $1 million in damages in this pending dispute.

FINRA Rule 3110

Failure to supervise violates FINRA Rule 3110, which requires that firms establish supervisory systems to ensure their compliance with securities regulations. Firms must appoint adequately-trained supervisors and provide them with Written Supervisory Procedures (WSPs).

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

What qualifies as broker negligence?

Brokers may act in many negligent ways, ranging from recommending unsuitable investments to executing unauthorized trades. Investors who feel their losses are the result of broker negligence may be able to recover their funds through FINRA arbitration.

Tax Liens

From 2016-2019, Jose Valdez was subject to $218,875.6 in tax liens.

Background Information

Jose Valdez has passed the following exams:

• Series 63 – Uniform Securities Agent State Law Examination
• Series 7TO – General Securities Representative Examination
• SIE – Securities Industry Essentials Examination
• Series 62 – Corporate Securities Limited Representative Examination

Jose Valdez is a registered broker in 10 states and the District of Columbia.

He has also worked for the following firms:

• BlackBook Capital (CRD#:123234)
• Columbus Advisory Group (CRD#:126331)
• Empire Asset Management Company (CRD#:143007)
• John Carris Investments (CRD#:145767)
• Joseph Gunnar & Company (CRD#:24795)
• Westrock Advisors (CRD#:114338)
• Capital Growth Financial (CRD#:41040)
• Sky Capital (CRD#:114657)
• National Securities Corporation (CRD#:7569)
• Park Capital Securities (CRD#:104206)
• Somerset Financial Group (CRD#:46507)
• Grayson Financial (CRD#:11764)
• Montrose Capital Management (CRD#:40799)
• Coleman & Company Securities (CRD#:1486)
• Royal Hutton Securities CORP. (CRD#:14489)

Kurta Law Can Help

If you worked with Jose Valdez and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.