DID DOUGLAS YALE FRANK CAUSE YOU INVESTMENT LOSSES?
Douglas Frank Of Wells Fargo Advisors Financial Network, LLC And Formerly With Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct
Who is Douglas Frank of Wells Fargo Advisors Financial Network, LLC?
Douglas Frank (CRD #723283) who is currently registered as a broker and investment adviser with Wells Fargo Advisors Financial Network, LLC and located in Westlake Village, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Advisors Financial Network, LLC, Douglas Frank was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated and other investment advisory, and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Douglas Frank Customer Complaints
Douglas Frank has been the subject of 2 customer complaints that we know about seeking to recover investment losses. One customer complaint was denied by Banc of America Investment Services and so far, the investor is not taking any further action. The other customer complaint was recently filed against Merrill Lynch Pierce Fenner and Smith for Douglas Frank’s alleged misconduct in the Los Angeles County Superior Court and still pending.
Allegations Against Carlo Freese
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Misrepresentation in connection with the sale of securities.
- Misrepresentation of risks associated with mutual fund investments.