SPARTAN SECURITIES GROUP LTD

Regulator action

United States. Named in 7 sanctions listings.

Sanctions and listings7

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/09/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT N0. 2015043667001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Spartan Securities Group, Ltd., Respondent FINRA Member Firm BD No. 104478 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Spartan Securities Group, Ltd. ("Spartan" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose
Reference 2015043667001data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/11/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SPARTAN SECURITIES GROUP, LTD. (CRD No. 104478), Respondent. Disciplinary Proceeding No. 2013036389101 Hearing Officer:CC ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 11, 2017 INTRODUCTION Disciplinary Proceeding No. 2013036389101 was filed on September 12, 2016, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Spartan
Reference 2013036389101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/11/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070099249-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Spartan Securities Group, LTD, Respondent Broker-Dealer CRD No. 104478 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Spartan Securities Group, LTD (the ''firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2007009924901data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/29/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080140194-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Spartan Securities Group, LTD, Respondent Broker-Dealer CRD No. 104478 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Spartan Securities Group, LTD (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2008014019401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/29/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100221930-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Spartan Securities Group, LTD., Respondent Broker-Dealer CRD No. 104478 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Spartan Securities Group, LTD, (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2010022193001data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/06/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100215959-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Spartan Securities Group, LTD., Respondent Broker-Dealer CRD No. 104478 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Spartan Securities Group, LTD. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2010021595902data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/03/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090170083-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Spartan Securities Group, LTD., Respondent Broker-Dealer CRD No. 104478 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Spartan Securities Group, LTD. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2009017008302data-portal.finra.org finra.org

Other names1

Also known as1

Spartan Securities Group Ltd.

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