Bradley Frisk Allegedly Invested Funds Without Authorization

Bradley Frisk (CRD #: 5957389), a broker registered with Raymond James Financial Services, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on March 15, 2024. Details concerning this dispute are provided below. 

Investor Dispute

On January 10, 2024, an attorney for two linked entities complained that Bradley Frisk invested funds without authorization and advised using a loan against securities, resulting in losses. The dispute was denied, but investors should know that firms can deny disputes without an external review. Investors may be able to recover their losses after a denial by pursuing FINRA arbitration.

On March 10, 2020, an investor alleged that Bradley Frisk failed to disclose that her account was subject to market risk. This dispute was also denied. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Unauthorized trading violates this rule. 

Background Information 

Bradley Frisk has passed the following exams: 

• Series 66 Uniform Combined State Law Examination
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination 
• Series 6 Investment Company Products / Variable Contracts Representative Examination 

He has registered as a broker and investment adviser in California and Texas. He is a registered broker in Idaho, Michigan, Nevada, and Washington. 

During his 10 years of experience, Bradley Frisk has registered with six firms: 

• Raymond James Financial (CRD #: 6694) 
• Raymond James Financial Services Advisors (CRD #: 149018) 
• Wells Fargo Clearing Services (CRD #: 19613) 
• JP Morgan Securities (CRD #: 79) 
• Morgan Stanley (CRD #: 149777) 
• Chase Investment Services (CRD #: 25574)

Kurta Law Can Help 

If you have worked with Bradley Frisk and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.