May 2017-New York
The FINRA records of Mack L. Miller , a stockbroker who is currently registered with Spartan Capital Securities disclose two prior customer disputes, a separation from employment and 2 currently outstanding judgment/liens .
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In April 2017 Mack Miller was ‘permitted to resign’ from Dawson James Securities. The company made the following allegation on Miller’s FINRA record: “Rep had called a prospective customer in a state where he was not registered”.
Mack Miller has been employed by Spartan Capital Securities since 4/2017. He was employed by Dawson James Securities from 5/2016-4/2017 , Lampert Capital Markets from 11/2015-5/2016 and Viewtrade Securities 8/2015-11/2015.
If you have questions about an account handled by Mack L. Miller , contact us to discuss your options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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