Last Updated: August 2025 – New York, NY
Kim Marie Monchik Investigation Summary
Here’s what you need to know about New York, NY stockbroker Kim Marie Monchik:
- Name: Kim M. (Marie) Monchik
- CRD Number: 2528972
- Current Employer: Spartan Capital Securities, LLC (since 07/31/2008)
- Primary Location: 45 Broadway, 19th Floor, New York, NY 10006
- Function: Stockbroker / Financial Advisor
- Registrations/Exams (selected): Series 24 (Principal), Series 7, Series 55, SIE, Series 57, Series 79, Series 99; Series 63 (state law)
- Prior Firms: S.W. Bach & Company (2005–2007); Ormes Capital Markets, Inc. (2000–2003)
- Alias: Kim Marie Amendola
- Can Ms. Monchik be sued in FINRA arbitration? Yes
- Sanctioned by FINRA? Yes
- Other Business Activities reported: Atlas Fund, LLC; Iapetus Holdings (holding co. to Atlas Fund)
- Highest Award or Settlement: $41,842
- Four Pending Customer Disputes
If you’ve sustained damages from Ms. Monchik, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Kim Marie Monchik As Your Stockbroker?
- Customer Dispute (prior award) — FINRA Case No. 15‑01911 (4/8/2016). Allegations: churning, unsuitability, unauthorized trading, breach of fiduciary duty, breach of contract, fraud/misrepresentation. Award: $41,842
- Customer Disputes (pending) —
- FINRA Case No. 22‑02653 (served 11/18/2022) — Failure to Supervise; alleged damages $247,262.
- FINRA Case No. 24‑01461 (served 7/16/2024) — Failure to Supervise (private placements); alleged damages $375,000.
- FINRA Case No. 25‑00493 (served 3/13/2025) — Failure to Supervise (listed equities); damages amount unspecified.
- AAA Case No. 01‑25‑0001‑7093 (served 5/27/2025) — Respondeat superior re: private placement funds; damages amount unspecified.
- Regulatory Sanction (on appeal) — FINRA Docket No. 2019061528001 (initiated 10/19/2021). Findings of willful failure to amend Form U4 to disclose customer arbitrations. Hearing Panel (3/28/2023): $30,000 fine, two‑year suspension, and costs; NAC (10/9/2024) reduced the fine to $10,000; SEC appeal filed 11/4/2024; sanctions not in effect pending review.
- Regulatory (pending) — FINRA Docket Nos. 2022075597101 / 2022075597102 (initiated 11/8/2024). Alleged failure to timely respond to FINRA Rule 8210 requests during an investigation into unregistered private funds tied to an outside business activity. Status: Pending.
Allegations of Broker Misconduct Against Kim Marie Monchik
- Willful failure to amend Form U4 to disclose customer arbitrations
- Failure to timely comply with information requests
- Churning
- Unsuitability
- Unauthorized trading
- Breach of fiduciary duty
Other Cases Involving Unauthorized Trading
What is Excessive Trading (Churning)?
Recover Your Investment Losses Now With Rex Securities Law
Other Investigations Involving Spartan Capital Securities Brokers
If you have suffered investment losses in an account handled by Kim Marie Monchik, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.