I have filed complaints with the SEC…
I have filed complaints with the SEC (Securities and Exchange Commission) and FINRA (Financial Industry Regulatory Authority) for Securities Fraud, Breach of Contract, Breach of Client Confidentiality and Executing Unauthorized Trades. The advisor at this firm is affiliated with Commonwealth Financial Network Broker Dealer that was fined $93 Million in fines by the SEC in April of 2024 for Unethical behavior.








