2018056490335 Spartan Capital Securities, LLC, Kim M. Monchik, Frederick Joseph Cammarano III, James Pecoraro, John Stapleton, Michael Darvish Complaint lp.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2018056490335 Department of Enforcement, Complainant, v. Spartan Capital Securities, LLC, CRD No. 146251, Kim M. Monchik CRD No. 2528972, Frederick Joseph Cammarano III CRD No. 2277307, James Pecoraro CRD No. 2440231, John Stapleton CRD No. 2791194, Michael Darvish CRD No. 3243141, Respondents. COMPLAINT The Department of Enforcement alleges: SUMMARY 1.

2015044782401 ROBBI J. JONES 1797418 and KIPLING JONES & CO., LTD. 144730 SEC jhjr.pdf

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 104273 / November 28, 2025 Admin. Proc. File No. 3-20209 In the Matter of the Application of ROBBI J. JONES and KIPLING JONES & CO., LTD., For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION — REVIEW OF DISCIPLINARY PROCEEDING FINRA found that a former member firm and its owner were liable for maintaining inaccurate books and records and for filing materially inaccurate FOCUS reports.

Election Notice - 12/16/2025

FINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC) and the Regional Committees,1 and, at its December meeting, the FINRA Board of Governors (FINRA Board) appointed several individuals to fill vacancies on the SFAC and the National Adjudicatory Council (NAC).

CTEWA

Certified Trust & Estate Wealth Advisor (CTEWA)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization WealthCounsel, LLC
Qualification and Training Requirements
Prerequisites

Candidates must:

  • be registered to sell securities, offer investment advice or both;
  • be in good standing with their professional organization's governing body; and
  • be a current member of Advisors Forum by WealthCounsel.
Designation Training Requirements

Training courses available in live webinar and self-study formats
Designation Exam Type

Online, open book final exam
Continuing Education Requirements

12 credit hours every two years
Verification and Complaints
Online Designation Resource

None
Investor Complaint Process

None
Published List of Disciplined Designees

None
Subscribe to