Switch to ADA Accessible Theme
Miami Investment Fraud Attorney
1 SE 3rd Ave # 1200
SunTrust International Center
Miami, Florida 33131

Tag Archives: Trade-Through

FINRA Accuses Florida Brokerage Firm of Failure to Establish and Maintain a Proper Supervisory System

By Staff |

On January 9th, 2018, the Financial Industry Regulatory Authority (FINRA) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) regarding allegations of misconduct involving Spartan Securities Group, Ltd. (CRD#: 104478), a brokerage firm based in Clearwater, Florida. In this post, our Miami investment fraud lawyers highlight the alleged violations by Spartan Securities Group. To… Read More »

  • Super Lawyers
  • AV Preeminent
  • Million Dollar Advocates Forum
  • Judicial Edition 2021
  • Curtis Carlson 25th Anniversary


1 SE 3rd Ave #1200
Suntrust International Center
Miami, Florida 33131

Telephone: 305-372-9700
Fax: 305-372-8265

With Us

  • Facebook
  • Twitter
  • LinkedIn

The information on this website is for general information purposes only. Nothing on this site should be taken as legal advice for any individual case or situation. This information is not intended to create, and receipt or viewing does not constitute, an attorney-client relationship.

No content on this site may be reused in any fashion without written permission from www.Carlson-Law.net

MileMark Media - Practice Growth Solutions

© 2015 - 2021 Carlson & Associates, P.A. All rights reserved. This law firm website is managed by MileMark Media.