• FINRA Files New Disciplinary Complaint Against Spartan Capital, CEO John Lowry, and CAO Kim Monchik
  • FINRA Alleges Gustave J. Schmidt Hid Compensation on Pre-IPO Private Placements
  • Former Morgan Stanley Broker Kirk J. Crossen Faces FINRA Complaint Over $400,000 in Undisclosed Loans from Elderly Client
  • Broker Randall Duggan Investigated by Washington Regulators Amid Multiple Investor Complaints
  • Former Broker Brian R. Marston Under FINRA Investigation for Alternative Investment Recommendations
  • FINRA Targets Spartan Capital’s Kim Monchik for Disclosure Failures and Rule Violations