Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bradley Frisk (Frisk), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Frisk recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on March 14, 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).