Skip to content
Rosenberger
+
Kawabata
Practice Areas
Business Litigation
Securities Arbitration
Federal Claims
Attorneys
Elliot Rosenberger
Makoa Kawabata
Results
Blog
Contact Us
Category:
FINRA Enforcement
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
November 9, 2025
FINRA suspends Mack Leon Miller of Spartan Capital for excessive trading that cost senior customers $71,022 in losses
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
Previous Page
1
2
3
Let’s Talk.
Contact Us Today