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November 8, 2025
FINRA suspends Joseph Kelly of Spartan Capital Securities for excessive trading that generated $365,344 in commissions and caused $262,683 in customer losses
November 7, 2025
FINRA suspends Antonio Molinos of Spartan Capital Securities for excessive trading that cost a retired customer $87,920 in losses
August 8, 2025
BrokerCheck records show $2.7 million arbitration award against Merrill Lynch in case involving broker Chelsea Deng and private placement claims
March 5, 2025
How to Identify and Protect Yourself From Investment Fraud in California
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