FINRA files complaint against Spartan Capital Securities, CEO, former CCO
The Financial Industry Regulatory Authority (FINRA) has filed a complaint against Spartan Capital Securities LLC.
Spartan Capital Securities
FINRA files complaint against Spartan Capital Securities
The Financial Industry Regulatory Authority (FINRA) has filed a complaint against Spartan Capital Securities, LLC.
FINRA files complaint against Spartan Capital Securities for alleged rule violations
The Financial Industry Regulatory Authority (FINRA) has filed a complaint against Spartan Capital Securities, LLC, John Lowry, and Kim Monchik.
FINRA imposes $115k fine on Spartan Capital Securities
Spartan Capital Securities has agreed to pay a fine of $115,000 as a part of a settlement with FINRA.
FINRA suspends former Spartan Capital rep for excessive trading
The Financial Industry Regulatory Authority (FINRA) has suspended Murat Kartal, a former general securities representative of Spartan, for 10 months.
FINRA files complaint against Spartan Capital Securities for disclosure failures
Spartan failed to disclose hundreds of reportable events involving its representatives, including customer arbitrations and bankruptcies.
