Investors might have sustained losses due to securities broker Frank John Ward [CRD: 1621434, Omaha, Nebraska], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Ward joined Raymond James Financial Services Inc. on June 17, 2015, and Raymond James Financial Services Advisors Inc. on June 19, 2015. Read the following sections to learn more about the allegations made against Ward.
Raymond James Investor Accused Ward Of Misrepresentation
Evidently, on March 28, 2025, a Raymond James Financial Services Inc. client filed a complaint about Frank Ward. The client alleged that Ward gave unsuitable advice about stocks and provided false information, which led to a tax implication. So, the client requested $15,562.50 in compensation from Raymond James Financial Services Inc. or Ward. However, the firm denied this complaint.
Additional Disputes Involving Frank Ward Allege Unauthorized Trading, Excessive Trading
Ward also faced two earlier client disputes involving other employers. One, received on July 21, 1998, involved allegations of unauthorized, excessive, and unsuitable trading in municipal bonds. That complaint was denied. Another client dispute, received on February 5, 1995, alleged misrepresentation involving investments in mortgage-related partnerships. The firm settled for $14,260. Ward denied any wrongdoing and stated the client had been informed of investment risks.
Did You Invest Through Securities Broker Ward?
Do you have questions or concerns about investments involving Frank Ward? You can touch base with Soreide Law Group at (888) 760-6552 or online and consult with a securities attorney. Soreide Law Group helps recover losses for investors throughout the United States. Also, the firm works on a contingency fee basis and advances all costs. Ward and the brokerage firms Ward worked for deny accusations of sales practice violations.
