Rosenberger + Kawabata

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BrokerCheck Reports

BrokerCheck records show $2.7 million arbitration award against Merrill Lynch in case involving broker Chelsea Deng and private placement claims

April 11, 2026
BrokerCheck Reports

Ralph A. Jackson III, former Morgan Stanley broker, has $7.38 million in customer dispute settlements disclosed on BrokerCheck

April 10, 2026
FINRA Enforcement

FINRA suspends Antonio Molinos of Spartan Capital Securities for excessive trading that cost a retired customer $87,920 in losses

April 8, 2026
FINRA Enforcement

FINRA suspends Mack Leon Miller of Spartan Capital for excessive trading that cost senior customers $71,022 in losses

April 8, 2026
FINRA Enforcement

FINRA files complaint against John Dennis Lowry of Spartan Capital Securities alleging $3.25 million in undisclosed markups on private placements

April 8, 2026
FINRA Enforcement

FINRA suspends former Stifel broker Jonathon Mark Webster for recommending unsuitable stock purchases to 19 seniors instead of fee-based accounts, costing customers $121,725 in unnecessary commissions

April 8, 2026
FINRA Enforcement

FINRA files complaint against Michael A. Darvish of Spartan Capital Securities alleging excessive trading and Reg BI violations

March 8, 2026
FINRA Enforcement

FINRA files complaint against former Spartan Capital Securities broker James Robert Pecoraro alleging customer account churning and unsuitable trading recommendations

March 8, 2026
FINRA Enforcement

FINRA files complaint against Frederick Joseph Cammarano III alleging supervision failures in $4 million churning scheme

March 8, 2026
FINRA Enforcement

FINRA Suspends David John Taddeo for Undisclosed Private Securities Transactions

March 8, 2026