Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Provance (Provance), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Provance recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $36,000.00 on May 28, 2021.
Customer alleges that in 2016, her representative recommended she invest in a business development company without adequately informing her of the risks and attributes of the security.