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Spartan Capital Securities, LLC (CRD #146251, New York, New York), John Dennis Lowry (CRD #4336146, New York, New York), and Kim Marie Monchik (CRD #2528972, Hazlet, New Jersey) The firm, Lowry, and Monchik appealed a National Adjudicatory Counsel (NAC) decision to the Securities and Exchange Commission (SEC). The firm was censured, fined $600,000, and required […]
Ever wondered what suitability obligations are all about? In the world of securities, these rules are super important. They ensure that brokers recommend investments appropriate for their clients. This isn’t just about making money. It’s about keeping things fair and honest. Understanding these obligations can be a game changer for investors in Los Angeles, especially […]
Ever wondered how financial disputes get settled without stepping into a courtroom? That’s where FINRA arbitration comes in. It’s like a courtroom drama, minus the drama. Instead of a judge, you’ve got arbitrators. And instead of a lengthy trial, you get a process that’s quicker and often less costly. This guide will walk you through […]
Investment fraud is like a sneaky shadow in the finance world. It’s always lurking, ready to catch folks off guard. Whether you’re new to investing or have been at it for years, scams can be tricky to spot. They come in all shapes and sizes, from promises of quick riches to complex schemes that sound […]
Ever wonder how disputes get sorted out in the finance world without heading straight to court? That’s where FINRA arbitration steps in. It’s like a courtroom, but not exactly. It’s more like a meeting room where investors and brokers hash things out. This process is a go-to for many in the securities industry because it’s […]