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Recent Posts in Charles Frieda and Charles Lynch Category

CFP Board Suspends Charles Frieda Following FINRA Overconcentration Bar

A month after FINRA barred former Wells Fargo representatives Charles Henry Frieda and Charles Bernard Lynch for unsuitably over concentrating customer funds in speculative oil and gas industry ...
Continue reading "CFP Board Suspends Charles Frieda Following FINRA Overconcentration Bar" »

NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats

The North American Securities Administrations Association (NASAA) announced the top threats to investors, identifying the most frequent sources of current investor complaints or industry ...
Continue reading "NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats" »

Ex-Wells Fargo Reps Charles Frieda and Charles Lynch Barred for Energy Sector Overconcentration and Millions in Losses

FINRA barred Charles Henry Frieda and Charles Bernard Lynch, formerly of Wells Fargo Advisors and Wells Fargo Clearing Services in Irvine, California, finding that the duo unsuitably over-concentrated ...
Continue reading "Ex-Wells Fargo Reps Charles Frieda and Charles Lynch Barred for Energy Sector Overconcentration and Millions in Losses" »

Wells Fargo's Charles Frieda & Charles Lynch Rack Up Complaints Over Concentration, Suitability in 2015, 2016

Brokers Charles Henry Frieda and Charles Bernard Lynch of Wells Fargo Advisors in Irvine, California have racked up an alarming number of customer disputes over the last 15 months alone—31 total ...
Continue reading "Wells Fargo's Charles Frieda & Charles Lynch Rack Up Complaints Over Concentration, Suitability in 2015, 2016" »
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