Securities Lawyers Blog
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 and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on September 16, 2024.
Customer alleges RR misrepresented two VA policies sold in 2005. Customer alleges RR did not properly disclose policy terms and failed to explain the GMIB.
