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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.

The Financial Industry Regulatory Authority (FINRA) has suspended Murat Kartal, a former general securities representative of Spartan, for 10 months.

Spartan failed to disclose hundreds of reportable events involving its representatives, including customer arbitrations and bankruptcies.