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 caused the customers to suffer substantial losses.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on July 24, 2016, a customer filed an investment related written complaint involving Frieda’s conduct based upon allegations that Frieda effected unauthorized and unsuitable trades in the customer’s investment account, and made misrepresentations to the customer concerning the investment strategy which was utilized. Further, on October 25, 2016, a customer filed an investment related arbitration claim pertaining to Frieda’s activities, in which the customer requested $121,948.00 in damages based upon allegations that Frieda effected transactions in the customer’s account which were not suitable.
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