Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Freeman (Freeman), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Freeman 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 $100,000.00 on September 10, 2021.
Claimant alleges her registered representative recommended unsuitable alternative investments. Claimant further alleges misrepresentation, breach of contract, negligence, and breach of fiduciary duty.