Jordan Meadow: Ex-Spartan Broker Barred by FINRA

Former New York City financial advisor Jordan Meadow (CRD# 6116538) was recently sanctioned in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Spartan Capital Securities and that he is a defendant in a pending Securities and Exchange Commission action.

A Letter of Acceptance, Waiver, and Consent (No. 20180856490326) published on March 10, 2025 describes FINRA’s disciplinary action against Mr. Meadow. As it explains, FINRA had previously initiated an investigation “into potential excessive trading at Spartan Capital.” As part of this investigation, it sent him a request on February 14, 2025 to appear for on-the-record testimony. In response, Mr. Meadow indicated through counsel that he would not appear for such. FINRA found that his refusal violated FINRA Rule 8210, which requires persons under its jurisdiction to comply with such requests. As a result, FINRA barred him from associating with any member firm in all capacities.

Mr. Meadow’s BrokerCheck report discloses SEC charges against him. These charges allege that he received material nonpublic information misappropriated by another individual, and that he used this information to trade securities, making illicit profits of more than $730,000. He also allegedly used the other individual’s misappropriated information to recommend investments to brokerage customers, who “made millions of dollars” on ensuing trades, while Mr. Meadow “made hundreds of thousands more in commissions.” The SEC’s charges remain pending.

According to the Financial Industry Regulatory Authority, Jordan Meadow holds 10 years of securities industry experience. Most recently based in New York City, he was last registered with Spartan Capital Securities from 2018 until 2023. His past registrations include Newbridge Securities, Maxim Group, Reid & Rudiger, and Saxony Securities. His credentials include the passage of three securities industry qualifying exams: the Uniform Securities Agent State Law Examination, or Series 63; the Securities Industry Essentials Examination, or SIE; and the General Securities Representative Examination, or Series 7. He is not registered with any broker-dealer firm. (Information current as of March 11, 2025.)

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