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FINRA arbitration
February 23, 2026
FINRA Permanently Bars Joseph E. O’Shea Jr. of Spartan Capital Securities for Refusing to Testify in Excessive Trading Investigation
February 21, 2026
FINRA Suspends Keith M. Dagostino Two Years for Unsuitable Recommendations to Retired and Senior Investors at Aegis Capital
February 8, 2026
FINRA files complaint against John Dennis Lowry of Spartan Capital Securities alleging $3.25 million in undisclosed markups on private placements
January 26, 2026
FINRA Files Complaint Against Kirk James Crossen Alleging He Borrowed $400,000 from 84-Year-Old Customer With Onset of Dementia
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
August 8, 2025
BrokerCheck records show $2.7 million arbitration award against Merrill Lynch in case involving broker Chelsea Deng and private placement claims
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