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Tag:
Churning
June 19, 2026
FINRA complaint alleges Sutter Securities and former CEO Keith Moore failed to stop $2.5 million in excessive trading in an 89-year-old client’s accounts
March 11, 2026
FINRA files complaint against Frederick Joseph Cammarano III alleging supervision failures in churning scheme
March 10, 2026
FINRA files complaint against John Joseph Stapleton of Spartan Capital Securities alleging churning and unsuitable trading
March 9, 2026
FINRA files complaint against former Spartan Capital Securities broker James Robert Pecoraro alleging customer account churning and unsuitable trading recommendations
March 8, 2026
FINRA files complaint against Michael A. Darvish of Spartan Capital Securities alleging excessive trading and Reg BI violations
February 23, 2026
FINRA Permanently Bars Joseph E. O’Shea Jr. of Spartan Capital Securities for Refusing to Testify in Excessive Trading Investigation
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
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