Jesse D. Krapf, of New York, New York, a stockbroker registered with Spartan Capital Securities LLC, has been suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Krapf violated the Best Interest Obligation under Rule 15l-1 of the Securities Exchange Act of 1934 (Regulation BI) by…
Jesse D. Krapf, a stockbroker formerly with Spartan Capital Securities LLC in New York, New York, was the subject of a Financial Industry Regulatory Authority (FINRA) regulatory action finalized on October 30, 2024. FINRA found that Krapf violated Regulation Best Interest (Reg BI) under the Securities Exchange Act of 1934, as well as FINRA Rules…