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Tag:
Churning
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 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 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 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