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Criminal Charge Entered Against William Frick

William Frick (CRD #: 7878581), a broker registered with Charles Schwab & Company, is the subject of a criminal charge, according to his BrokerCheck record, accessed on May 24, 2025. Read on to learn more.

Criminal Charge

On February 24, 2025, a criminal charge was entered against William Frick. This charge is currently pending.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

William Frick has passed the following exams:

  • General Securities Representative Examination – Series 7TO
  • Securities Industry Essentials Examination – SIE
  • Uniform Securities Agent State Law Examination – Series 63

William Frick is a registered broker in all 50 states and the District of Columbia.

Kurta Law Can Help

If you worked with William Frick and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want 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. 

 

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