DID CARLO ENRICO FREESE CAUSE YOU INVESTMENT LOSSES?
Carlo Freese Of Charles Schwab & Co., Inc. Has 2 Customer Complaints For Alleged Broker Misconduct
Who is Carlo Freese of Charles Schwab & Co., Inc.?
Carlo Freese (CRD #3139396) who is currently registered as a broker and investment adviser with Charles Schwab & Co., Inc. and located in Indianapolis, Indiana, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Charles Schwab & Co., Inc., Carlo Freese was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
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Carlo Freese Customer Complaints
Carlo Freese has been the subject of 2 customer complaints that we know about seeking to recover investment losses. One customer complaint was denied by Charles Schwab & Co., Inc. and the customer took no further action. The other customer complaint was recently filed against Charles Schwab & Co., Inc. for Carlo Freese’s alleged misconduct and still pending.
Allegations Against Carlo Freese
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Failure to follow client’s instructions.
- Misrepresentation in connection with the sale of Schwab Yield Plus Fund.