There are options for clients of former Avantax Investment Services, Inc. broker Gary Frisch (CRD# 5037164) who suffered investment losses due to unauthorized transactions. He has been registered with Cetera Wealth Services, LLC and Cetera Investment Advisers LLC in Surprise, Arizona, since 2025. He was registered with Avantax Advisory Services and Avantax Investment Services, Inc. in Surprise, Arizona, from 2019 to 2025, 1st Global Advisors Inc. and 1st Global Capital Corp. in Surprise, Arizona, from 2013 to 2019.
Gary Frisch Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
February 2026. “Customer alleges 2021 trading strategy and funding were not authorized.” The customer is seeking $112,766 in damages, and the case is currently pending. The complaint was regarding common and preferred stock losses, and it took place while he was registered with Avantax Investment Services, 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, Avantax Investment Services, Inc. may be liable for investment or other losses suffered by Gary Frisch’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.
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