David J. Freniere, Esquire

dfreniere@frenierelawgroup.com

Mr. Freniere's practice focuses on representing and counseling broker/dealers, registered investment advisers and financial professionals.

From 1992 to 2012, Mr. Freniere served as head of litigation for LPL Financial LLC.  During that period, Mr. Freniere managed LPL’s corporate insurance program (E&O, D&O, general liability and excess SIPC), personally handled hundreds of litigation and regulatory matters, and managed dozens of outside counsel throughout the country.  Mr. Freniere was a member of several executive level committees at LPL responsible for critical broker/dealer reporting.  He also served as a director of The Private Trust Company and was on FINRA's District Committee for District 11. 

Mr. Freniere has extensive experience defending cases involving suitability, selling away, excessive trading, switching, portfolio concentration and product due diligence.  Mr. Freniere also regularly represents clients before the SEC, FINRA and state securities regulators.    

From 2012 to 2021, Mr. Freniere was affiliated with the law firm Markun Zusman Freniere Compton LLP, where he continued to handle a wide variety of matters relating to broker/dealers and investment advisers, including cases involving sales practices and employment terminations.  Mr. Freniere also counsels and represents financial professionals in connection with the purchase and sale of  their practices. 

From 1989 to 1992, Mr. Freniere was an enforcement attorney with the  United States Securities and Exchange Commission.  

Massachusetts, 1988
U.S. District Court, District of Massachusetts
U.S. Court of Appeals, First Circuit

Suffolk University Law School, J.D.
Providence College, B.A., Cum Laude