Soreide Law Group is currently investigating complaints from investors regarding:
CAERON A. MCCLINTOCK (CRD# 3206481)
Alternate Names: CAERON MCCLINTOCK, RON A MCCLINTOCK
McClintock is a New York-based broker formerly with Spartan Capital Securities. Currently, McClintock has two pending customer disputes alleging unauthorized trading, churning, unsuitable investments, and more.
His most recent complaint was filed with FINRA in August of 2016. The complaint alleges that while with Legend Securities in New York, McClintock executed unauthorized trades. The investor is seeking $17,000 in damages. Another pending complaint from 2015 alleges negligence, churning, and misrepresentation and is seeking $50,000 in damages.
According to FINRA’s BrokerCheck, CAERON A. MCCLINTOCK was registered in the securities industry for 17 years, and is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). He may still be able to offer other investment-related services if properly licensed to do so. Some of the firms McClintock was registered with are listed below.
03/2016 - 10/2016 SPARTAN CAPITAL SECURITIES, LLC - NEW YORK, NY
09/2015 - 03/2016 LEGEND SECURITIES, INC. - NEW YORK, NY
04/2015 - 09/2015 ROTHSCHILD LIEBERMAN LLC - New York, NY
04/2013 - 04/2015 E.J. STERLING, LLC - NEW YORK, NY
06/2012 - 04/2013 LEGEND SECURITIES, INC. - NEW YORK, NY
06/2011 - 06/2012 BROOKSTONE SECURITIES, INC. - NEW YORK, NY
FINRA expelled the firm in 10/2012
11/2008 - 06/2011 J.P. TURNER & COMPANY, L.L.C. - BROOKLYN, NY
If you were a client of CAERON A. MCCLINTOCK and experienced losses due to his actions or recommendations, call Soreide Law Group and speak to a lawyer regarding the possible recovery of your investment losses at: 888-760-6552.
Soreide Law Group represents clients nationwide before FINRA. We work on a contingency fee basis.
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