Articles Tagged with Frost Brokerage Services

Frost Brokerage Services

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 31, 2018 indicate that Texas-based brokerage firm Frost Brokerage Services has received regulatory sanctions and a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Frost Brokerage Services (CRD# 17499).

Established in Texas in 1986, Frost Brokerage Services is headquartered in San Antonio, Texas and registered with 45 US states and territories. Its parent company is Frost Bank. According to the firm’s BrokerCheck report, it has received four regulatory events and one customer complaint that evolved into arbitration.

In 2015 a customer alleged Frost Brokerage Services breached its fiduciary duty and participated in other misconduct in connection to investments in unspecified products. The complaint resulted in a non-monetary award.

Jerry WillbornPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 25, 2018 indicate that Texas-based Frost Brokerage Services broker/adviser Jerry Willborn has been involved in a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Willborn (CRD# 2139979).

Jerry Willborn has spent 26 years in the securities industry and has been registered with Frost Brokerage Services in San Antonio, Texas since 1996. Previous registrations include Investment Professionals in San Antonio, Texas (1996); BA Investment Services in Oakland, California (1993-1995); Invest Financial Corporation in Tampa, Florida (1992-1993); American Express Financial Advisors in Minneapolis, Minnesota (1991-1992); and IDS Life Insurance Company in Minneapolis, Minnesota (1991-1992). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on June 24, 2017; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 17, 1991; and Series 7 (General Securities Representative Examination), which he obtained on May 13, 1991. He is a registered broker and investment adviser with nine US states: Arizona, California, Colorado, Maryland, Missouri, New Jersey, Ohio, Oklahoma, and Texas.

According to his BrokerCheck report, he has received one customer complaint.

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