Securities Lawyers Blog
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 trading activity also referred to as churning or excessive trading among other securities laws violations.
FINRA BrokerCheck shows a settled customer complaint on January 27, 2022.
Customer alleges unauthorized trading and churning. Timeframe 2014 – 2021.