Search for: "Commonwealth Financial Network"
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2 Dec 2019, 7:43 am
SSEK Investigating Ex-Commonwealth Financial Network Broker SSEK Law Firm is meeting with investors who suffered losses while working with former Commonwealth Financial Network broker, Gerald Allan Eaton, or another financial representative from the firm. [read post]
6 Aug 2019, 10:30 am
The post SEC Charges Commonwealth Financial Network appeared first on The White Law Group. [read post]
25 Feb 2019, 8:28 am
Massachusetts Secretary of the Commonwealth William Galvin has filed investor fraud charges against ex-broker Bruce Worthington, who was previously licensed with Commonwealth Financial Network and after that with Founders Financial Network. [read post]
13 Nov 2018, 9:19 am
Commonwealth Financial Returns $900,000 to investors According to the Financial Industry Regulatory Authority (FINRA) this week, the regulator has sanctioned Commonwealth Financial Network for overcharging retirement plan investors via mutual fund share classes. [read post]
13 Nov 2018, 9:19 am
Commonwealth Financial Returns $900,000 to investors According to the Financial Industry Regulatory Authority (FINRA) this week, the regulator has sanctioned Commonwealth Financial Network for overcharging retirement plan investors via mutual fund share classes. [read post]
5 Sep 2015, 6:23 am
The securities fraud attorneys are interested in hearing from investors with complaints involving John Smallwood of Commonwealth Financial Network. [read post]
5 Feb 2021, 6:54 am
Continue Reading › The post Commonwealth Financial Network Broker Joseph Leonczyk Sold FS Energy and FS KKR Investments To Customers appeared first on Investor Lawyers Blog. [read post]
8 Jun 2023, 4:28 pm
Commonwealth Financial Network must pay a former broker $175,000 over a FINRA arbitration case involving a financial advisor’s medical condition and the breakup of a practice.The independent wealth manager owes James “Jay” A. [read post]
Former Commonwealth Financial Advisor Gerald Eaton Barred for Conversion of $3.7 M in Customer Fraud
1 Oct 2020, 3:24 am
From March 1995 until November 2019, Eaton was registered with the Commonwealth Financial Network until there were activities leading to an investigation open against him by FINRA. [read post]
Former Commonwealth Financial Advisor Gerald Eaton Barred for Conversion of $3.7 M in Customer Fraud
1 Oct 2020, 3:24 am
From March 1995 until November 2019, Eaton was registered with the Commonwealth Financial Network until there were activities leading to an investigation open against him by FINRA. [read post]
1 Aug 2023, 11:44 am
Commonwealth Financial Network reportedly filed a Form U5 stating that it had discharged Stanage for failing to obtain firm approval for an outside business activity (OBA). [read post]
11 Jun 2014, 8:45 am
The Financial Industry Regulatory Authority (FINRA) recently fined brokerage firm Commonwealth Financial Network (CFN) $250,000 on allegations that from December 7, 2009 to January 28, 2012, CFN’s supervisory system: (a) failed to subject about 12.6 million outgoing e-mails to daily e-mail surveillance protocol, constituting 90% of the e-mails that the firm’s registered representatives sent through doing business as (DBA) e-mail accounts; and (b)… [read post]
19 Oct 2009, 10:09 am
Let's examine what went wrong and how customers at the firm, Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network ("Commonwealth"), were exposed to an Internet pirate. [read post]
29 Aug 2019, 8:54 am
The SEC’s Complaint against the adviser, Boston-based Commonwealth Equity Services, LLC, d/b/a Commonwealth Financial Network (“Commonwealth”), was filed in Massachusetts federal district court, and alleges that Commonwealth received over $100 million in revenue sharing from the clearing broker while failing to properly apprise its advisory clients of the full nature of the revenue sharing arrangement and the inherent conflicts… [read post]
14 May 2017, 8:36 am
Charles DeNormandie, a registered representative from Alpharetta, Georgia formerly with Commonwealth Financial Network and Ameriprise Financial Services was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. [read post]
22 Nov 2019, 10:50 am
Eaton, Commonwealth Financial Network in Acton, MA Are you concerned about investments with Gerald A. [read post]
7 Aug 2019, 6:30 pm
The SEC charged Commonwealth Equity Services, LLC (d/b/a Commonwealth Financial Network), a registered investment adviser and broker-dealer, with failing to disclose material conflicts of interest related to revenue sharing Commonwealth received for certain client investments. [read post]
2 Oct 2020, 12:24 pm
According to his FINRA BrokerCheck report, Eaton was registered with Commonwealth Financial Network in Acton, MA for 24 years until he was discharged in 2019 for allegations of “Forgery. [read post]
18 Apr 2019, 10:09 am
According to his FINRA BrokerCheck Report, Bourgeois was affiliated with Commonwealth Financial Network in Metairie, LA from May 2015 until April 2019. [read post]
9 Mar 2016, 12:01 pm
FINRA alleged that between March 2012 and April 2013, while he was registered with Commonwealth Financial Network (Commonwealth Financial) Moore failed to disclose to the firm his outside business activities, also referred to as “selling away”, involving the facilitation of a church bond offering for a church located in Brazoria, Texas. [read post]
