Investors potentially experienced sales practice violations due to securities broker Edward Charles Fredericks [CRD: 2202730, Milford, Connecticut], according to disclosures on FINRA BrokerCheck. It appears that Fredericks has worked for Equitable Advisors LLC since June 1, 2005, working out of both Milford and Stratford, Connecticut. Keep reading to learn more about the disclosures involving Fredericks and allegations brought against him.
Fredericks Disclosed Unauthorized Trading Allegations By Equitable Advisors Client
Particularly, a client of Equitable Advisors contested Edward Fredericks’s sales practices, according to a complaint dated March 31, 2025. Allegedly, Fredericks filled out an account form in April 2024 without their consent, engaged in unauthorized trading in the client's individual retirement accounts, and made unsuitable investment recommendations. Allegedly, Fredericks allegedly caused the client to sustain damages through investments in stocks. As a result, the client sought compensation from Equitable Advisors or Fredericks in the amount of $5,000 in this matter.
AXA Advisors LLC Investor Accused Edward Fredericks Of Unsuitable Recommendations
Specifically, on November 16, 2018, an AXA Advisors LLC client filed a complaint about Edward Fredericks. Supposedly, Fredericks made unsuitable recommendations. Because of this, the client allegedly incurred damages through investing in variable annuities. Therefore, the client requested compensation from AXA Advisors LLC or Fredericks. However, the firm denied this complaint.
Fredericks Disclosed Misrepresentation Allegations By Axa Advisors LLC Client
Also, a client of AXA Advisors LLC contested Edward Fredericks’s sales practices, according to a complaint dated July 25, 2018. Allegedly, Fredericks made misrepresentations. Allegedly, Fredericks allegedly caused the client to sustain damages through investments in variable annuities. Because of this, the client sought compensation from AXA Advisors LLC or Fredericks in the amount of $171,000 in this matter. On August 21, 2018, the firm denied the complaint.
Were You Impacted By Securities Broker / Financial Advisor Edward Fredericks?
Do you have concerns about investments you made through Edward Fredericks? You can reach out to Soreide Law Group online or at (888) 760-6552 and speak to a securities attorney about a possible recovery. Soreide Law Group has over a decade of experience recovering losses for investors throughout the United States. The firm also works on a contingency fee arrangement and advances all costs. Fredericks and brokerage firms Fredericks worked for deny accusations of sales practice violations.
