Investors potentially experienced sales practice violations because of securities broker Alfred Gerald Block (also known as Archie Block) [CRD: 1192064, Little Silver, New Jersey], according to disclosures on FINRA BrokerCheck. Block joined Buckman Buckman Reid Inc. on February 10, 2017. Read below to learn more about the disclosures involving this broker and the investments that clients claim led to losses.
Specifically, on August 24, 2024, a Buckman Buckman Reid Inc. client filed FINRA Arbitration No. 24-01778 about Alfred Block. Mainly, the investor alleged that Block churned accounts. As a result, the client allegedly sustained damages connected to options. Therefore, the client requested $2,225,000.00 in compensation from Buckman Buckman Reid Inc. or Block. Evidently, this arbitration is pending a resolution.
Additionally, a client of First Montauk Securities Corp. disputed Alfred Block’s sales practices, based on a complaint dated May 28, 2004. Allegedly, Block engaged in unauthorized trading in equities and converted funds. It appears that Block allegedly caused the client to sustain damages. Consequently, the client sought compensation from First Montauk Securities Corp. or Block in the amount of $50,000.00 in this matter. However, the firm denied the complaint.
Evidently, a Marsh Block Co. Inc. client filed NASD Arbitration No. 95-00967 about Alfred Block. Supposedly, Block made misrepresentations, breached his fiduciary duty, engaged in unauthorized trading, and made unsuitable recommendations. Therefore, on June 12, 1997, a NASD Arbitration Panel issued an Award ordering Marsh Block Co. Inc. and Block to pay the client $380,898.75 in damages.
Are you concerned regarding investments you made with Alfred Block? You should reach out to Soreide Law Group online or at (888) 760-6552 and talk to a securities lawyer concerning a potential recovery. Soreide Law Group is experienced at recovering losses for investors throughout the United States. Also, the firm works on a contingency fee basis and advances all costs. Block and brokerage firms Block worked for deny allegations of sales practice violations.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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