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Broker Alert: Susan Slovak and Beth Chapman formerly of Commonwealth Financial
Susan Slovak and Beth Chapman, both formerly of Commonwealth Financial. We have direct significant experience involving these former stockbrokers. An SEC Administrative Proceeding bars ...
Read moreCommonwealth Financial Network Arbitration Claims
Commonwealth Financial was the subject of an arbitration claim (along with Ameriprise, and stockbroker Fouad Zealter). The stockbroker recommended that the customer retire early, ...
Read moreCommonwealth Financial Network Fines
Commonwealth Financial was fined $250,000 for supervisory issues involving email review and archiving. Commonwealth’s email review system failed to review more than 12 million ...
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