According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Alfred Block (Block), currently associated with Buckman, Buckman & Reid, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Block concern allegations of high frequency…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Dandrea (Dandrea), currently associated with Arete Wealth Management, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Dandrea concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Francis Cunningham (Cunningham), currently associated with B. Riley Wealth Management, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Cunningham concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Pratul Agnihotri (Agnihotri), previously associated with Sw Financial, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Agnihotri concern allegations of high frequency trading activity also…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Allan Snider (Snider), previously associated with Oppenheimer & CO. INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Snider concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker William Mielke (Mielke), currently associated with Stifel, Nicolaus & Company, Incorporated, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Mielke concern allegations of high frequency…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Dennis Lerner (Lerner), previously associated with Cambridge Investment Research, INC., has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Lerner concern allegations of high frequency trading…
In December 2025, FINRA filed a sweeping enforcement action against Spartan Capital Securities, alleging that the New York–based broker dealer built its business on systematic churning and excessive trading that generated millions in revenue while inflicting massive losses on customers. According to FINRA’s complaint, 114 customer accounts incurred nearly $10…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Allan Snider (Snider), previously associated with Oppenheimer & CO. INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Snider concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker William Mielke (Mielke), currently associated with Stifel, Nicolaus & Company, Incorporated, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Mielke concern allegations of high frequency…