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.
Avantax Investor Accused Gary Frisch Of Unauthorized Trading
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.
What Is Unauthorized Trading In Stocks?
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.
Did You Invest Through Securities Broker / Financial Advisor Frisch?
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.
