Marked As Fraud
Jeffrey Fratarcangeli
Jeffrey Fratarcangeli’s career is defined by hidden fees, regulatory penalties, and a fiduciary facade that collapsed under SEC scrutiny.
Red Flags
1
COMMENTS
7
USER SCORE
1.8
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CRITICAL INTEL ON Jeffrey Fratarcangeli
Breach of Fiduciary Duty: Directed clients to investments tied to undisclosed revenue-sharing deals with a broker-dealer, pocketing $260,000 in hidden compensation. Prioritized personal gain by steering clients toward higher-fee mutual fund share classes instead of cheaper options, eroding their returns.
Misuse of Client Funds Through Soft Dollar Abuse: Diverted client commission funds (intended for research/services) to cover operational costs or personal expenses, violating SEC guidelines. Failed to disclose these arrangements, masking conflicts of interest and breaching client trust.
Systemic Compliance Failures at Fratarcangeli Wealth Management: As principal and chief compliance officer, allowed lax policies that enabled years of undisclosed conflicts and fee abuses. Leveraged his dual authority to avoid accountability, creating a culture of non-compliance at FWM.
Prior Termination from Merrill Lynch Raises Red Flags: Fired in 2018 for altering a client’s beneficiary form without authorization, violating FINRA standards of conduct. Lost a 2023 bid to force FINRA to investigate Merrill’s U5 filing, reinforcing the legitimacy of the termination.
Reputational Collapse: Unverified but persistent industry chatter (2025) suggests clients felt misled by FWM’s opaque fee structures and underperformance. Marketed as a client-first fiduciary, but SEC findings expose profit-driven practices, undermining his professional credibility.
Summary generated by data analyzed and provided by ChatGPT 4o, Grok and DeepSeek
0 CRITICAL INTEL ON Jeffrey Fratarcangeli
by: Wendy Bell
This guy wasn’t managing wealth; he was draining it. Sneaky fees, hidden deals, and pocketing commissions textbook financial fraud.
Pros
Cons
by: Xavier Gonzalez
It’s one thing to make bad investments, but it’s another to actively deceive clients for personal gain. Directing people into high-fee funds just to pocket extra commissions is as unethical as it gets. With every move, he put his own...
by: Yvonne Powell
If he was willing to alter a client’s beneficiary form, what else was he doing behind the scenes? These are the ones who ruin trust in financial advisors.
by: Zachary Ward
Stealing from clients while calling yourself a fiduciary is next-level fraud. It’s like a bank robber wearing a police uniform.
by: Allison Scott
He directed people into high-fee funds not because they were the best choice, but because they lined his pockets. That’s straight-up theft, dressed up in a suit and tie.
by: Dylan Blackwood
Misused client funds through soft dollar abuse, diverting commission funds meant for research to cover personal expenses. Violated SEC guidelines and breached client trust.
by: Elijah Mercer
He used client money for personal expenses. That’s just wrong.