Tag Archives: Charles Henry Frieda

Wells Fargo Accused By Investors Of Bad Advice

Charles Henry Frieda of Irvine California a stockbroker formerly registered with Wells Fargo Advisors LLC is the subject of a customer initiated investment related complaint which was resolved on February 28, 2019 for $20,000.00 in damages based upon accusations of unsuitable energy securities recommended by the stockbroker between 2014 and 2018 while associated with Wells […]

Read More »

Wells Fargo Stockbroker Barred For Suitability

December 23, 2017  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News   |   0 Comments

Charles Henry Frieda, of Irvine, California, a stockbroker formerly registered with Wells Fargo Clearing Services, LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he made unsuitable investment recommendations to the firm’s customers. Letter of Acceptance, Waiver and Consent, No. 2015045713302 (Dec. […]

Read More »

Customer Bring FINRA Securities Arbitration Against Wells Fargo Advisors

May 18, 2017  |   Posted by :   |   Over Concentration, Securities Arbitration Claims   |   0 Comments

Charles Henry Frieda, of Irvine, California, a stockbroker currently registered with Wells Fargo Clearing Services, LLC, has been named in a customer initiated investment related arbitration claim on March 29, 2017, based upon allegations that Frieda overconcentrated the customer’s holdings in equities that the customer was not suitable for. Financial Industry Regulatory Authority (FINRA) Public […]

Read More »

Wells Fargo Named In Customer Arbitrations Alleging Unsuitability

Charles Henry Frieda, of Irvine, California, a stockbroker currently registered with Wells Fargo Clearing Services, LLC, has been named in thirty-two customer initiated investment related disputes between October 6, 2014, and October 25, 2016, which have collectively settled for $5,268,553.00 in damages based upon allegations that Frieda effected unsuitable transactions in the customers’ accounts, which […]

Read More »