Caeron Arlington McClintock, of New York, New York, a broker formerly registered with EJ Sterling, has been named in a customer initiated investment related arbitration claim on November 22, 2016, in which the customer has requested $135,593.00 in damages based upon allegations that McClintock breached his fiduciary and contractual duties to the customer, churned the customer’s investment account, effected unauthorized trades in equities, made omissions and misrepresentations, committed fraud in violation of Securities Exchange Act of 1934 Section 10(b) and Rule 10b-5, and violations of FINRA Rules 4330(a), 3110, 2111(a), 2090, 2020, and 2010.
FINRA Public Disclosure reveals that McClintock has been named in two additional customer disputes concerning allegations of misconduct while employed at Legend Securities Inc., and EJ Sterling, LLC. Particularly, on August 26, 2016, a customer filed a complaint involving McClintock’s conduct, in which the customer requested $17,000.00 in damages based upon allegations that McClintock effected unauthorized equity transactions.
Further, on December 30, 2015, another customer filed an investment related arbitration claim regarding McClintock’s actions, in which the customer requested $50,000.00 in damages based upon allegations that McClintock made misrepresentations to the customer, churned the customer’s account and generated excessive commissions, effected unsuitable equity transactions, and defrauded the customer.
Since 1999, McClintock has been associated with eleven different broker dealers, nine of which has been expelled by securities regulators for violation of federal securities laws or is otherwise defunct. #cockroach
McClintock’s most recent employment was with Spartan Capital Securities, LLC, from March 21, 2016 to October 7, 2016.
Guiliano Law Group
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