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Tag:
unsuitable investments
BrokerCheck Reports
BrokerCheck records show $2.7 million arbitration award against Merrill Lynch in case involving broker Chelsea Deng and private placement claims
April 11, 2026
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
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