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Sebastian Bongiovanni Allegedly Failed to Respond to FINRA Requests for Information

Sebastian Bongiovanni (CRD #: 4398600), a broker registered with Spartan Capital Securities, has been suspended by FINRA. This disclosure appears on his BrokerCheck record, accessed on June 28, 2024. Keep reading if you have questions regarding his alleged conduct. 

Regulatory Action

On May 1, 2024, FINRA suspended Sebastian Bongiovanni following allegations that he failed to respond to FINRA requests for information. The suspension will continue until required information is provided or the suspension will convert to a bar. 

Investor Dispute

There is a settled dispute on his record from 2016 alleging that Sebastian Bongiovanni engaged in unauthorized trading and recommended unsuitable investments. They further alleged he misrepresented the risks of certain investments. The dispute was settled for $91,000. 

Background Information 

Sebastian Bongiovanni has passed the following exams: 

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

He is a registered broker in 22 states. 

During his 22 years of experience, Sebastian Bongiovanni has registered with six firms:

  • Spartan Capital Securities (CRD #: 146251) 
  • Newbridge Securities Corporation (CRD #: 104065) 
  • JP Turner & Company (CRD #: 43177) 
  • Gunnallen Financial (CRD #: 17609) 
  • Joseph Gunnar & Co (CRD #: 24795) 
  • Prime Charter LTD. (CRD #: 25668) 

Kurta Law Can Help 

If you have worked with Sebastian Bongiovanni and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.

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