Ron Smith: FINRA Bars Ex-Spartan Advisor

Stamford, Connecticut financial advisor Ron Smith (CRD# 6038062) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Spartan Capital representative is registered as a broker with Sanford C. Bernstein & Company and an investment advisor with AllianceBernstein.

A Letter of Acceptance, Waiver, and Consent (No. 2018056490334) describes FINRA’s disciplinary action against Mr. Smith. Signed in November 2025, it states that FINRA was investigating allegations of “potential excessive trading of customer accounts at Spartan Capital” by Mr. Smith. As part of this investigation, it sent him a request to pursue documents and information. It made this request under the auspices of FINRA Rule 8210, which states that FINRA may require persons under its jurisdiction to provide information or documents relevant to matters under FINRA’s investigation. This same rule also prohibits members from failing to provide the requested documents or information.

According to the AWC Letter, Mr. Smith “submitted a partial response” to the request but failed to “provide all of the requested information and documents, including his electronic communications.” He subsequently indicated to FINRA via counsel that he would not provide the remaining documents or information. FINRA found that this refusal constituted violations of both Rule 8210 and 2010, the latter of which requires persons associated with FINRA to “observe high standards of commercial honor and just and equitable principals of trade” as they perform their business. As a result, FINRA barred him from associating with any member firm in any capacity.

According to the Financial Industry Regulatory Authority, Ron Smith holds 12 years of securities industry experience. Based in Stamford, Connecticut, he has been registered as a broker with Sanford C. Bernstein & Company and an investment advisor with AllianceBernstein since 2024. He has been barred from registering as a broker. (Information current as of November 10, 2025.)

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