The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Douglas Mark Frizzell (CRD#2630044) regarding allegations made regarding the following:

Claim(s) Made Against Douglas Mark Frizzell:

Claim Date: 3/13/2024

“Attorney for Trust complains that Financial Advisor told Trustees that a distribution from annuity contract would not adversely affect the ability of Trust to meet its ongoing obligations to beneficiary. Attorney further complains that the distribution resulted in tax consequences that hampered the ability to meet the Trust‘s obligations. (5/10/2023-3/13/2024)”

This claim, as of this posting, is currently Pending.

See more information on FINRA’s BrokerCheck site for Douglas Mark Frizzell.

Did you have a negative experience with Douglas Mark Frizzell?

Brokerage firms have the responsibility to oversee all representatives who are registered with their firm, including Douglas Mark Frizzell, and must ensure that they adhere to all securities rules, regulations, and internal policies. If a brokerage firm fails to do so, it may be held responsible for investment losses sustained by customers due to a lack of supervision.If you were a client of Douglas Mark Frizzell and WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC from BEDFORD, NH, and experienced any issues or problems, the Securities Lawyers at Halling & Cayo, S.C. are interested in discussing the possibility of a claim with you. (A further explanation is here, My Financial Advisor lost my money, what now?.)

The Securities Lawyers have recovered millions of dollars for investors across the United States and represent individuals and groups of investors who have suffered losses.These claims are typically resolved through FINRA Arbitration, as all brokerage firms embed binding arbitration clauses into their customer new account forms. (What is the disadvantage of FINRA arbitration) If you were a customer of Douglas Mark Frizzell and WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC and suffered investment losses, please contact the Securities Lawyers. We will only receive payment if we are able to recover your money, and you may be eligible for financial compensation. It’s important to note that there may be time limits or statutes of limitations that apply to your claim, so it’s crucial to speak with an attorney as soon as possible.

Contact The Securities Lawyers


Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at to see if he can help recover your funds.