KCD Financial, Inc. broker Brett Frum (CRD# 2175253) is accused of private placement losses. He has been registered with KCD Financial, Inc. in Green Bay, Wisconsin, since 2021. He was registered with AEI Securities, Inc. in St. Paul, Minnesota, in 2021, Patrick Capital Markets, LLC in Aliso Viejo, California, from 2018 to 2019, and Provasi Capital Partners LP in Dallas, Texas, from 2014 to 2018.
Brett Frum Customer Complaints
He has been the subject of two customer complaints between 1994 and 2025, according to his CRD report. The most recent complaint was regarding:
September 2025. “Respondents recommended risky products. Transaction Dates: 7/10/2022, 07/21/2022, 08/07/2022 08/27/2022, and 12/08/2022.” The customer is seeking $1,000,000 in damages, and the case is currently pending. The complaint was regarding private placement losses, and it took place while he was registered with KCD Financial, Inc.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, KCD Financial, Inc. may be liable for investment or other losses suffered by Brett Frum’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
"*" indicates required fields
