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Articles Tagged with Mack Leon Miller

FINRA Suspended New York Broker After Senior Investor Lost More Than $69K

Mack Leon Miller, a Spartan Capital Securities broker in New York, was suspended by the Financial Industry Regulatory Authority (FINRA) earlier this year. The self-regulatory organization (SRO) found that Miller excessively traded in an older investor’s account while he was with Spartan and before that while registered as a broker with Dawson James Securities. 

Miller consented to the sanctions but without admitting to or denying the findings. In addition to the suspension, which lasted from May 4 to October 3, 2020, Miller was ordered to pay $2500 in restitution. According to his BrokerCheck record, now that his suspension is over, Mack Miller remains a registered Spartan Capital Securities stockbroker. 

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