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September 26, 2011
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Blog, Securities Fraud
The following is a brief breakdown of publicly available information regarding Commonwealth Financial and its securities sales practices and FINRA regulatory history. Commonwealth Financial is a FINRA registered broker-dealer based in Waltham, Massachusetts. Although Commonwealth Financial has a solid reputation in
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September 22, 2011
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Blog, Securities Fraud
The following is a brief breakdown of publicly available information regarding LPL Financial and its securities sales practices and FINRA regulatory history. LPL Financial is a FINRA registered broker-dealer based in Boston, Massachusetts. LPL’s website states that the firm provides an integrated platform of
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July 20, 2011
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Blog, Securities Fraud
According to the Investment News, Massachusetts’ top securities regulator is suing RBC Capital Markets LLC and one of its former registered representatives over the sale of leveraged exchange-traded funds, saying they sold them to clients who didn’t understand how the investments worked. Secretary of the
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March 23, 2011
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Blog, Securities Fraud
According to the Investment News, James J. Konaxis, a former broker, has been charged with defrauding the widow of a victim of the Sept. 11, 2001, attack on the Pentagon of much of her victim compensation settlement money. Apparently, the Securities and Exchange Commission has charged the Beverly, Mass.-based
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