Mack Leon Miller, of New York, New York, a stockbroker registered with Dawson James Securities, Inc., was terminated from employment on April 20, 2017, based upon allegations that he solicited investments from customers in states that he was not licensed.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Miller has been named in three other customer initiated investment related disputes regarding allegations of his wrongdoing while he was associated with Dawson James Securities, Inc., John Carris Investments, LLC, and Coastal Equities, Inc. Specifically, on May 26, 2014, a customer filed an investment related written complaint involving Miller’s conduct, based upon allegations that he placed corporate debt trades in the customer’s account without authorization.
Subsequently, on August 18, 2014, a customer complaint regarding Miller’s activities was resolved for $7,500.00 in damages based upon allegations that he placed unsuitable equity transactions in the customer’s account and churned the customer’s investment portfolio. Moreover, Miller has been named in a customer initiated investment related written complaint on April 17, 2017, where the customer requested $20,000.00 in damages based upon allegations that Miller, between August of 2016 and April of 2017, placed stock trades in the customer’s account on an excessive basis and made misrepresentations to the customer concerning investments.
Miller has been associated with Spartan Capital Securities, LLC, since April 27, 2017.
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