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Articles Tagged with Spartan Capital Securities

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. 

New York Stockbroker is Named in Multiple Customer Disputes

If you suffered substantial losses from investments recommended to you by Spartan Capital Securities broker Joseph Kelly, you may have grounds for filing a Financial Industry Regulatory Authority (FINRA) arbitration claim to recover your losses. 

Kelly, who is based in New York, is the subject of three pending customer complaints seeking damages. He has been with Spartan Capital Securities since 2017 and before that from 2013 to 2016. At Shepherd Smith Edwards and Kantas (SSEK Law Firm), our New York securities fraud attorneys would be happy to offer you a free case assessment. Contact us at (716) 261-3529 today.

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