Commonwealth Financial Network Tag Archives

There are Recent Customer Complaints with Broker James Neel in Firm Commonwealth Financial Network

May 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Neel (Neel), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Neel 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 $60,000.00 on April 04, 2024.

Claimant alleges the RR recommended unsuitable Oil & Gas investments.

There are Recent Customer Complaints with Broker Michael Hebert in Firm Commonwealth Financial Network

May 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Hebert (Hebert), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Hebert recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customers allege that investments made in 2014 were unsuitable for the customers’ investment objectives and risk tolerance.

Broker Sean Flynn in Commonwealth Financial Network Firm Has Customer Complaint

May 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Flynn (Flynn), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Flynn recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on June 03, 2024.

Clients allege advisor allowed [REDACTED] variable life insurance policy to lapse.

There are Recent Customer Complaints with Broker Kevin O’sullivan in Firm Commonwealth Financial Network

April 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin O’sullivan (O’sullivan), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that O’sullivan 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 $300,000.00 on September 19, 2024.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

There are Recent Customer Complaints with Broker John Whalen in Firm Commonwealth Financial Network

March 20, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Kevin O’sullivan in Firm Commonwealth Financial Network

March 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin O’sullivan (O’sullivan), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that O’sullivan 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 $300,000.00 on September 19, 2024.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

Broker Walter Williams in Commonwealth Financial Network Firm Has Customer Complaint

March 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Williams (Williams), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 $75,000.00 on September 20, 2024.

Claimants allege the RR recommended an unsuitable Oil & Gas investment.

Broker Paul Miller in Commonwealth Financial Network Firm Has Customer Complaint

March 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Miller (Miller), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 $107,992.74 on October 15, 2024.

Executor for client’s estate, in hindsight, seeks to hold RR responsible for choices the client made with respect to exercising certain options under an annuity contract.

There are Recent Customer Complaints with Broker Stephanie Hayes in Firm Commonwealth Financial Network

March 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephanie Hayes (Hayes), previously associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Hayes 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 $2,009,700.00 on October 31, 2024.

Claimants allege that advisor recommended unsuitable and risky securities in unsuitable concentrations.

Broker Patrick Jordan in Commonwealth Financial Network Firm Has Customer Complaint

February 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Jordan (Jordan), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Jordan 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 $30,000.00 on January 02, 2025.

Plaintiff alleges that her brother was their mother’s FA and that he charged excessive fees; executed a low volume of transactions; did not purchase the least expensive share classes; executed some trades that were not suitable; and failed to disclose to Plaintiff the true value of their mother’s accounts. Allegation Activity Dates: 2/11/04 – 12/31/24.