Rosenberger + Kawabata

Tag: securities fraud

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
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 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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