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Tag:
broker misconduct
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 Mack Leon Miller of Spartan Capital for excessive trading that cost senior customers $71,022 in losses
April 8, 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 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 John Joseph Stapleton of Spartan Capital Securities alleging churning and unsuitable trading
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 files complaint against Michael A. Darvish of Spartan Capital Securities alleging excessive trading and Reg BI violations
March 8, 2026
BrokerCheck Reports
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FINRA Enforcement
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 8, 2025