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Tag:
excessive trading
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 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