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Regulation Best Interest
April 10, 2026
Ralph A. Jackson III, former Morgan Stanley broker, has $7.38 million in customer dispute settlements disclosed on BrokerCheck
March 11, 2026
FINRA files complaint against Frederick Joseph Cammarano III alleging supervision failures in churning scheme
March 9, 2026
FINRA files complaint against former Spartan Capital Securities broker James Robert Pecoraro alleging customer account churning and unsuitable trading recommendations
February 8, 2026
FINRA files complaint against John Dennis Lowry of Spartan Capital Securities alleging $3.25 million in undisclosed markups on private placements
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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