BRIAN LAWRENCE FRANK is currently employed as a Broker and/or Investment Adviser at ASCENDANT ALTERNATIVE STRATEGIES, LLC located at 13412 Galleria Circle, Building H, Suite 100, Austin, TX, 78738.
BRIAN LAWRENCE FRANK has worked at ASCENDANT ALTERNATIVE STRATEGIES, LLC since October 31, 2017
Disclosure History
BRIAN LAWRENCE FRANK has 2 Disclosure Event(s).
Date: July 17, 2009 Category: Customer Dispute Allegations: ALL ACTIONS ASSOCIATED WITH THIS DISCLOSURE TOOK PLACE PRIOR TO MR. FRANK'S ASSOCIATION WITH OUR FIRM. THE FOLLOWING LANGUAGE APPEARS IN THE DETAILS SECTION FROM MR. FRANK'S REVISED U5 RECENTLY SUBMITTED BY SANDGRAIN SECURITIES, INC. "CLAIMANT SEEKS TO RECOUP LOSSES IN ACCOUNTS INTRODUCED BY RESPONDENT TO THEMIS ASSET STRATEGIES, LLC. IN 2006, WITH CLAIMS INCLUDING BUT NOT LIMITED TO VIOLATIONS OF RULE 2010 AND FAILING TO OBSERVE HIGH STANDARDS OF COMMERCIAL HONOR AND EQUITABLE PRINCIPLES OF TRADE." Damage Amount Requested: $2,900,000.00 Settlement Amount: $150,000.00 Broker Comment: THE OVERALL SETTLEMENT WAS $150,000 DIVIDED EQUALLY BETWEEN BRIAN FRANK, LESLIE FRANK AND SANDGRAIN SECURITIES
Date: March 01, 1990 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT D.H. BLAIR & BRIAN FRANKMADE MISREPREESENTATIONS REGARDING THE SALE OF A NEW ISSUE,OVER THE COUNTER STOCK. Damage Amount Requested: $293,576.20 Settlement Amount: $470,500.00 Broker Comment: SETTLEMENT. I PAID $145,000 AND D.H. BLAIR PAID$325,500.Not Provided
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