Blair Christopher Mielke(CRD #1878222, Evansville, Indiana) and Frederick William Shultz(CRD #5239977, Evansville, Indiana)
were barred by FINRA for allegedly participating in undisclosed private securities transactions, engaging in undisclosed outside business activities, and failure to report their outside business activities to their firm.
FINRA's sanctions also alleged that Shultz and Mielke failed to respond to FINRA’s requests for information and/or documents. Also, Shultz caused his firm to maintain inaccurate records and misused client funds by misallocating them to a limited liability company as profits.
This has been appealed to the SEC and the sanctions are in effect pending review.
(FINRA Case #2009019837302)
BLAIR C. MIELKE was previously registered with the following securities firm(s):
06/2007 - 11/2009 BROOKSTONE SECURITIES, INC. (CRD# 13366) - EVANSVILLE, IN
FINRA expelled the firm in 10/2012
12/2004 - 06/2007 FFP SECURITIES, INC. (CRD# 16337) - EVANSVILLE, IN
05/2003 - 12/2004 WATERSTONE FINANCIAL GROUP, INC. (CRD# 10078) - BOSTON, MA
03/1998 - 05/2003 FFP SECURITIES, INC. (CRD# 16337) - CHESTERFIELD, MO
09/1997 - 12/1997 FIRST ALLIED SECURITIES, INC. (CRD# 32444) - SAN DIEGO, CA
06/1996 - 09/1997 LASALLE ST SECURITIES, L.L.C. (CRD# 7191) - ELMHURST, IL
02/1995 - 06/1996 FFP SECURITIES, INC. (CRD# 16337) - CHESTERFIELD, MO
10/1988 - 02/1995 AAL CAPITAL MANAGEMENT CORPORATION (CRD# 18387) - MINNEAPOLIS, MN
FREDERICK W. SHULTZ was previously registered with the following securities firm(s):
06/2007 - 11/2009 BROOKSTONE SECURITIES, INC. (CRD# 13366) - EVANSVILLE, IN
FINRA expelled the firm in 10/2012
12/2006 - 06/2007 FFP SECURITIES, INC. (CRD# 16337) - EVANSVILLE, IN
The above summation of information is from FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2014.”
Contact the Soreide Law Group for a free consultation with an attorney on how to potentially recover your investment losses at 888-760-6552. The Soreide Law Group has represented clients nationwide before the Financial Industry Regulatory Authority (“FINRA”).
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