Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Freal (Freal), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Freal recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $617,500.00 on August 12, 2025.
Plaintiff alleges that Mr. Freal, while employed by the Firm, took advantage of a now deceased trustee by having her declared incompetent and had himself installed as successor trustee. After Freal left the Firm, he allegedly sold real estate valued at $617,500 and transferred funds to himself and others through accounts held at Schwab.