COMPLAINTS (Spartan Asset Group LLC and John Robert Perry)

Case Documents:

Amended Answer Amended Complaint Amended Decision Amended Notice Of Intent Amended Notice Of Member Responsibility Action Answer Appeals Committee Decision Cftc Decision Cftc Order Circuit Court Appeal Complaint Decision Federal Court Order Final Order Interim Order Nfa Reply Notice Notice And Order Lifting Member Responsibility Action Notice And Order Lifting Suspension Of Membership Notice And Order Of Suspension Notice Of Appeal Notice Of Associate Responsibility Action Notice Of Intent Notice Of Member Responsibility Action Notice Of Suspension Of Membership Notice Of Termination Of Ara Notice Of Termination Of Member Responsibility Action Order Order Denying Petition Order Lifting Conditions Order Of Dismissal Petition To Stay Response To Amended Notice Of Intent Response To Notice Of Intent Withdrawal Of Notice Of Intent

Narrative Summary:

COMPLAINT:

On October 8, 2025, NFA's Business Conduct Committee (BCC) issued a Complaint against Spartan Asset Group LLC (Spartan) and John Rob... ert Perry (Perry), charging Spartan and Perry with using deficient promotional material and failing to observe high standards of commercial honor and just and equitable principles of trade.Read More.

Rule Type:

• C.R.2-29(b)(3) - BALANCED DISCUSSION RE PROFIT/RISK
• C.R.2-29(b)(4) - USE OF HYPOTHETICAL RESULTS
• C.R.2-29(b)(5) - REF. TO ACTUAL PAST TRADING PROFITS
• C.R.2-4 - HIGH STDS. OF COMMERCIAL HONOR
• C.R.2-29(c)(1) - HYPOTHETICAL PERFORMANCE RESULTS DISCLAIMER
• C.R.2-29(c)(5) - PROMOTIONAL MATERIAL CONTAINING HYPOTHETICAL RESULTS

Committee:

• Business Conduct Committee

Action Type(s):

• SALES PRACTICE

Penalty/Event: