• Broker Joseph Kelly Sanctioned Over Alleged Excessive Trading and $2.4 Million in Customer Disputes
  • FINRA Complaints Involving Substantial Investor Losses: October 2026 Update
  • Former Spartan Capital & Aegis Broker Michael Venturino Barred by FINRA Over Churning Allegations
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  • Spartan Capital Securities Contests “Restricted Firm” Label Amid Massive Excessive Trading Allegations
  • Ex-Morgan Stanley Broker Theodore W. Byrer Suspended 14 Months Over Speculative Options Strategy