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Commonwealth Financial Network Arbitration Claims

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Commonwealth Financial was the subject of an arbitration claim (along with Ameriprise, and stockbroker Fouad Zealter).  The stockbroker recommended that the customer  retire early, take a  roll-over of shares of his employee stock ownership plan into a IRS section 72(t) IRA account and a non-72(t) IRA account.  There was a significant arbitration award from these events.   (13-03014).


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