John D. Lowry

03/28/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SPARTAN CAPITAL SECURITIES, LLC (CRD No. 146251), JOHN D. LOWRY (CRD 4336146), and KIM M. MONCHIK (CRD 2528972), Respondents. Disciplinary Proceeding No. 2019061528001 Hearing Officer—MJD EXTENDED HEARING PANEL DECISION March 28, 2023 Spartan Capital Securities, LLC, is censured and fined $600,000 for failing to amend, or timely amend, in 220 instances, the Forms U4 and Forms U5 of more than 70 registered representatives and Firm executives to disclose the filing or disposition of customer arbitrations, the receipt or disposition of written customer complaints, and reportable financial events. Spartan is also required to retain an independent consultant to review its supervisory procedures and to amend the Forms U4 and Forms U5 of its registered persons, including John D. Lowry and Kim M. Monchik, to reflect the filing and disposition of customer arbitrations and customer written complaints. Spartan’s

10/09/2024: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Spartan Capital Securities, LLC, John D. Lowry, and Kim M. Monchik, New York, New York, Respondent. DECISION Complaint No. 2019061528001 Dated: October 9, 2024. Member firm failed to amend, or timely amend, on 220 occasions, the Forms U4 and Forms U5 of its registered representatives to disclose the filing or disposition of customer arbitrations, the receipt or disposition of written customer complaints, and reportable financial events.

10/19/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Spartan Capital Securities, LLC BD No. 146251 John D. Lowry CRD No. 4336146 Kim M. Monchik CRD No. 2528972, Respondents. Disciplinary Proceeding No. 2019061528001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 1, 2015 to December 31, 2020 (the “relevant period”), Spartan Capital Securities, LLC failed to file, or to timely file, 223 amendments to the Uniform Applications for

Reference 2019061528001data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org