FINRA Disciplinary Actions Online

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Case ID Case Summary Document Type Firms/ Individuals Action Datesort ascending
Case ID 2009017008302 Case Summary 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 Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Firms/ Individuals
Action Date 01/03/2012