On November 24, 2025, the Financial Industry Regulatory Authority (“FINRA”) Department of Enforcement filed an enforcement action or complaint against Spartan Capital Securities, LLC along with its Chief Executive Officer, John Lowry, and its Chief Compliance Officer Kim Monchik, Spartan’s CCO. Department of Enforcement v. Spartan Capital Securities, LLC, et. al., Disciplinary Proceeding No. 2021069218305…
John D. Lowry, of New York, New York, Chief Executive Officer, and Kim M. Monchik, Chief Administrative Officer of Spartan Capital Securities, LLC, were sanctioned by Financial Industry Regulatory Authority (FINRA) for failing to disclose or timely disclose arbitration filings, customer complaints, and financial events on Forms U4 and U5. Spartan Capital Securities received 49…