Tag Archives: Mack Leon Miller

Spartan Capital Stockbroker Sanctioned For Churning

April 18, 2020  |   Posted by :   |   Boilerroom Sales, Churning, Elder Financial Abuse, Excessive Trading, Investment and Regulatory News, Securities Arbitration Claims   |   Comments Off on Spartan Capital Stockbroker Sanctioned For Churning

Mack Leon Miller (also known as Mark Miller) of New York New York a stockbroker registered with Spartan Capital Securities LLC has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected excessive trades or churned a customer’s account causing the customer […]

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Dawson James Securities Stockbroker Fired

June 19, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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 […]

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