The following information is from FINRA's website under "Disciplinary Actions, March, 2012: Spartan Securities Group, LTD (CRD #104478, Clearwater, Florida) submitted a Letterof Acceptance, Waiver and Consent in which the firm was censured, fined $52,500 and required to revise its WSPs regarding its supervisory system, procedures and qualifications;order handling; best execution; anti-intimidation/coordination; trade […]
