Investors potentially experienced sales practice violations by securities broker Gary Bryan Frisch [CRD: 5037164, Surprise, Arizona], according to public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Frisch worked for Avantax Investment Services Inc. and Avantax Advisory Services from October 25, 2019, through September 5, 2025, and has been registered with Cetera Wealth Services LLC and Cetera Investment Advisers LLC since September 5, 2025. Investors are encouraged to continue reading to find out more about a disclosure involving Frisch.
Evidently, on February 2, 2026, a client of Avantax Investment Services Inc. filed FINRA Arbitration No. 26-00257 about Gary Frisch. Primarily, the client alleged that Frisch engaged in unauthorized trading and account funding activity during 2021. Because of this, the client allegedly sustained damages connected to stocks. Therefore, the client requested $112,766 in compensation from Avantax Investment Services Inc. or Frisch. BrokerCheck indicates that this arbitration is ongoing.
Unauthorized trading generally refers to a securities broker or financial advisor placing stock trades in a client's account without first obtaining the client's permission or authority to make those transactions. Investors typically expect brokers to obtain approval before executing trades unless discretionary authority has been properly granted. Unauthorized trading allegations can involve purchases, sales, transfers of funds, or other account activity that a client claims was not approved.
Are you worried about investments you made through Gary Frisch? You can contact Soreide Law Group online or at (888) 760-6552. Consult with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for many clients throughout the United States. Also, our securities lawyers handle cases on a contingency fee basis and advance all costs. Frisch and brokerage firms Frisch 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 […]
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