Commonwealth Financial Network – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Commonwealth Financial Network. If you suffered losses investing with Commonwealth Financial Network, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Commonwealth Financial Network (CRD# 8032) (SEC# 8-24040)
As of September 12, 2016, Commonwealth Financial Network’s FINRA BrokerCheck Report contains the following:
21 Regulatory Event Disclosures
0 Civil Event Disclosures
14 Arbitration Disclosures
1 Bond Disclosures
Main Office Location
29 SAWYER ROAD
WALTHAM, MA 02453-3483
Mailing Address
29 SAWYER ROAD
WALTHAM, MA 02453-3483
Business Telephone Number
781-736-0700
Direct Owners and Executive Officers
MATTHEW FLETCHER DEITCH 2010 FAMILY GIFT TRUST – JOSEPH S. DEITCH, TRUSTEE – SHAREHOLDER
DEITCH FAMILY AND FRIENDS 2014 TRUST – JOSEPH S. DEITCH, TRUSTEE – SHAREHOLDER
DEITCH, JOSEPH SAMUEL (CRD# 840025) – CHAIRMAN, SHAREHOLDER
ROBBIE S. LACRITZ 2000 REVOCABLE TRUST – ROBBIE S. LACTRIZ FAMILY TRUST – ESBT – JOSEPH S. DEITCH, TRUSTEE – SHAREHOLDER
WHEELER, PETER TOMPKINS (CRD# 1286415) – VICE CHAIRMAN
WHEELER, PETER TOMPKINS (CRD# 1286415) – SHAREHOLDER
ADELMAN, JAMES BERNARD – GENERAL COUNSEL, SENIOR VICE PRESIDENT
BLOOM, WAYNE MICHAEL (CRD# 2014352) – CHIEF EXECUTIVE OFFICER
BOHS, JONATHAN CHRISTIAAN (CRD# 2308915) – SENIOR VICE PRESIDENT, BROKERAGE OPERATIONS
DEITCH, JOSEPH SAMUEL (CRD# 840025) – TRUSTEE
HUNTER, RICHARD MARCUS (CRD# 1913536) – PRESIDENT, MANAGING PRINCIPAL
KELLY, DAVID LINUS (CRD# 1597375) – MANAGING PRINCIPAL, TRADING AND BROKERAGE OPERATIONS
KLOMAN, CHRISTOPHER ANTHONY TRAPNELL (CRD# 4896179) – CHIEF FINANCIAL OFFICER
MCMILLAN, WILLIAM BRADFORD – SENIOR VICE PRESIDENT, CHIEF INVESTMENT OFFICER
ROBBIE S. LACRITZ 2000 REVOCABLE TRUST – GENERAL MARITAL TRUST – QSST – JOSEPH S. DEITCH, TRUSTEE – SHAREHOLDER
ROONEY, JOHN JAMES (CRD# 1410648) – MANAGING PRINCIPAL
TEDESCO, DARREN ANTHONY (CRD# 2558834) – MANAGING PRINCIPAL, INNOVATION AND STRATEGY
TOLLEY, PAUL JONATHAN (CRD# 2077337) – CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Commonwealth Financial Network and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.
