Investors potentially experienced sales practice violations by securities broker Brett Michael Frum [CRD: 2175253, Green Bay, Wisconsin], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Frum worked for AEI Securities Inc. from April 7, 2021, to August 17, 2021, and later became registered with KCD Financial Inc. beginning November 3, 2021, including registrations in Green Bay, Wisconsin, and Tarpon Springs, Florida. Investors should review the information below to find out more about Frum’s disclosed client dispute history.
KCD Financial Investor Brought FINRA Arbitration Alleging Sales Practice Violation
Notably, on September 11, 2025, a KCD Financial Inc. client filed FINRA Arbitration No. 25-01909 concerning Brett Frum. Primarily, the client alleged that Frum recommended risky investments. For this reason, the client allegedly incurred damages related to private placements. As a result, the client requested between $1,000,000 and $5,000,000, plus interest and costs, in compensation from KCD Financial Inc. or Frum. It appears that this arbitration remains pending.
Bret Frum Disclosed Misrepresentation Allegations By Hibbard Brown Co. Client
Specifically, a client of Hibbard Brown Co. Inc. disputed Frum’s sales practices, according to a complaint dated November 15, 1994. Allegedly, Frum made misrepresentations and omissions. It appears that Frum allegedly caused the client to incur damages. Consequently, the client sought compensation in the amount of $15,070.50 from Hibbard Brown Co. Inc. or Frum. This matter was later closed without action on October 31, 1996.
Did You Invest With Financial Advisor / Securities Broker Frum?
Are you concerned about investments you made through Brett Frum? Contact Soreide Law Group at (888) 760-6552 or online and talk with a securities attorney regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the country. Also, the firm represents investors on a contingency fee basis and advances all costs. Frum and brokerage firms Frum worked for deny allegations of sales practice violations.
