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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Tag Archives: Mack Leon Miller
Spartan Capital Stockbroker Sanctioned For Churning
April 18, 2020 | Posted by : Guiliano Law Group | Boilerroom Sales, Churning, Elder Financial Abuse, Excessive Trading, Investment and Regulatory News, Securities Arbitration Claims | Comments Off on Spartan Capital Stockbroker Sanctioned For Churning
Dawson James Securities Stockbroker Fired
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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