Erez Law is currently investigating former Wells Fargo broker Bradley Frisk (CRD# 5957389) regarding stock losses. He has been registered with Raymond James Financial Services, Inc. in Sacramento, California, since 2023. He was registered with Wells Fargo Clearing Services, LLC in Roseville, California, from 2017 to 2023, J.P. Morgan Securities LLC in Rocklin, California, from 2015 to 2017, and Morgan Stanley in Menlo Park, California, from 2014 to 2015.
Bradley Frisk Customer Complaints
He has been the subject of two customer complaints between 2020 and 2024, one of which was denied, according to his CRD report:
March 2024. “Arbitration: Claimants allege that in or about February 2022, the financial advisor recommended they take out a loan through their investment account to pay off a building mortgage and the financial advisor made poor investment choices Complaint: Attorney for two linked entities complained the financial advisor invested funds without authorization and advised using a loan against securities, resulting in losses. (9/14/2022-6/30/2023).” The case is currently pending. The complaint was regarding stock losses, and it took place while he was registered with Wells Fargo.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Wells Fargo may be liable for investment or other losses suffered by Bradley Frisk’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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