2020066651002 Park Avenue Securities, LLC CRD 46173 AWC vr (2023-1688257209301).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020066651002
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Park Avenue Securities LLC (Respondent)
Member Firm
CRD No. 46173
Pursuant to FINRA Rule 9216, Respondent Park Avenue Securities LLC submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2019061528001 Spartan Capital Securities LLC CRD 146251, John D. Lowry CRD 4336146, and Kim M. Monchick CRD 2528972 OHO Decision df2 (2023-1688170803677).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS
DEPARTMENT OF ENFORCEMENT, Complainant,
v.
SPARTAN CAPITAL SECURITIES, LLC (CRD No. 146251), JOHN D. LOWRY (CRD 4336146), and KIM M. MONCHIK (CRD 2528972), Respondents.
Disciplinary Proceeding No.
Larry Tabb Comment On Regulatory Notice 23-10
I personally (not Bloomberg, LP nor any of its affiliates) believe that this is a good thing. Anyone that has searched for 605 reports needs to traverse a series of websites to find this information. In addition can you please have the broker/dealers add a header row, or at least an off file guide to reading the data. A crib sheet is also needed to understand how to look at this information - like how do you calculate E/Q (given quoted spread is not a field in this file), or what does an order type 11, 12, 13 mean, or what does order size 21 mean?