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.
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.
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.
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.
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.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com