Harry Warnick Barred By FINRA Following Investigation Into Private Securities Transactions

FINRA barred securities broker Harry Harper Warnick [CRD: 6916323, New York, New York], according to public information on FINRA BrokerCheck. Evidently, Warnick worked for Spartan Capital Securities LLC from December 13, 2022, to September 12, 2024. Read below to discover more about the disclosures involving Warnick.

FINRA Barred Warnick For Failure To Comply With Investigation

Notably, on September 15, 2025, FINRA issued Case: 2024083348501 sanctioning Harry Warnick for violations of FINRA Rules 8210 and 2010. Specifically, Warnick was barred from associating with any FINRA member in all capacities. Mainly, FINRA alleged that Warnick failed to provide information and documents requested during an investigation into possible undisclosed private securities transactions, outside business activity, and an undisclosed securities account.

FINRA’s review originated from a Form U5 filed by Spartan Capital Securities LLC on September 12, 2024, stating Warnick’s discharge while under investigation for undisclosed activity. The regulator alleged that despite receiving a Rule 8210 request on May 29, 2025, Warnick did not produce the required documents or information. By not complying, he violated FINRA’s cooperation and conduct standards. As a result, FINRA imposed a bar effective upon approval of the Letter of Acceptance, Waiver, and Consent (AWC).

Harry Warnick Discharged By Spartan Capital Securities LLC For Undisclosed Transactions

Evidently, Spartan Capital Securities LLC disaffiliated with Warnick on September 12, 2024. Allegedly, Warnick conducted outside business activity with a client, participated in a private securities transaction, and maintained an outside securities account without prior disclosure or approval from the firm. The firm also alleged that Warnick used a personal email address to conceal the transaction and failed to comply with its internal review.

Were You Impacted By Financial Advisor / Securities Broker Warnick?

Are you concerned regarding investments you made with Harry Warnick? You should contact Soreide Law Group at (888) 760-6552 or online and talk with a securities lawyer concerning a potential recovery of your investment losses. For years, Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee basis and advances all costs. Warnick and brokerage firms Warnick worked for deny accusations of sales practice violations.