According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin O’sullivan (O’sullivan), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that O’sullivan recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Whalen (Whalen), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Whalen recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin O’sullivan (O’sullivan), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that O’sullivan recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Williams (Williams), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Williams recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Miller (Miller), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Miller recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephanie Hayes (Hayes), previously associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Hayes recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Jordan (Jordan), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Jordan recommended unsuitable investments in different investment products including debt securities among other allegations…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Benjamin Bourgeois (Bourgeois) has taken funds from clients and engaged in certain business activities not approved by his brokerage firm. Bourgeois, formerly registered with Commonwealth Financial Network (Commonwealth Financial) out of Metairie, Louisiana has been barred by…
Since the financial crisis the non-traded real estate investment trust (REIT) market has been a financial boon for the brokerage industry. A REIT is a security that invests typically in real estate related assets. Generally, REITs can be publicly or privately held. While publicly held REITs can be sold on…
On September 11, 2014, FINRA, permanently barred Kenneth W. Schulz, a former broker of LPL Financial from associating with any FINRA member. According to the Letter of Acceptance, Waiver and Consent, in June 2013, Kenneth W. Schulz directed a registered assistant to impersonate six of Schulz’s former customers in phone calls…
