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Elliot Rosenberger
Makoa Kawabata
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investor rights
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 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 Frederick Joseph Cammarano III alleging supervision failures in churning scheme
March 11, 2026
FINRA Enforcement
FINRA files complaint against John Dennis Lowry of Spartan Capital Securities alleging $3.25 million in undisclosed markups on private placements
February 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
FINRA Enforcement
FINRA suspends Antonio Molinos of Spartan Capital Securities for excessive trading that cost a retired customer $87,920 in losses
November 7, 2025
BrokerCheck Reports
BrokerCheck records show $2.7 million arbitration award against Merrill Lynch in case involving broker Chelsea Deng and private placement claims
August 8, 2025