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March 10, 2026
FINRA files complaint against John Joseph Stapleton of Spartan Capital Securities alleging churning and unsuitable trading
March 9, 2026
FINRA files complaint against former Spartan Capital Securities broker James Robert Pecoraro alleging customer account churning and unsuitable trading recommendations
March 8, 2026
FINRA files complaint against Michael A. Darvish of Spartan Capital Securities alleging excessive trading and Reg BI violations
February 23, 2026
FINRA Permanently Bars Joseph E. O’Shea Jr. of Spartan Capital Securities for Refusing to Testify in Excessive Trading Investigation
February 21, 2026
FINRA Suspends Keith M. Dagostino Two Years for Unsuitable Recommendations to Retired and Senior Investors at Aegis Capital
February 15, 2026
Rosenberger + Kawabata Partner B. Makoa Kawabata Earns ABOTA Membership
February 8, 2026
FINRA files complaint against John Dennis Lowry of Spartan Capital Securities alleging $3.25 million in undisclosed markups on private placements
January 26, 2026
FINRA Files Complaint Against Kirk James Crossen Alleging He Borrowed $400,000 from 84-Year-Old Customer With Onset of Dementia
January 25, 2026
FINRA Suspends Jacob Lee Harper 22 Months for Borrowing from Customers and Providing False Information
January 21, 2026
FINRA Suspends Former LPL Financial Broker Barry L. Buchholz for Unauthorized Trades Totaling $590,795 in Inheritance Accounts of Four Customers
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