From July 2020 through June 2023, Dagostino recommended that retired and senior investors purchase speculative and low-priced securities. Such recommendations subjected the customers to a substantial risk of loss, which was inconsistent with their investment profiles and therefore not in their best interests. As a result, Dagostino willfully violated the Care Obligation under Rule 15l-1(a)(1) of the Securities Exchange Act of 1934 (Regulation BI or Reg BI) and violated FINRA Rule 2010, and he is suspended for 24 months and fined $25,000.

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.