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Tagged with "Commonwealth Financial Network"

Commonwealth Financial Network Resolves SEC Conflict of Interest Case

Posted on May 5th, 2026 at 1:03 PM
Commonwealth Financial Network Resolves SEC Conflict of Interest Case

Commonwealth Financial Network has agreed to pay $5 million to resolve a long-standing conflict of interest case brought by the Securities and Exchange Commission, according to reporting by ThinkAdvisor.

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SEC and Commonwealth Financial Network Move Toward Settlement in Revenue Sharing Disclosure Case

Posted on March 11th, 2026 at 11:17 AM
SEC and Commonwealth Financial Network Move Toward Settlement in Revenue Sharing Disclosure Case

The Securities and Exchange Commission (SEC) and Commonwealth Financial Network notified a federal court that they are attempting to resolve a long running enforcement dispute involving alleged disclosure failures tied to revenue sharing payments, according to ThinkAdvisor.

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Elder financial exploitation has reached crisis levels, according to InvestmentNews.

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FINRA Arbitration Panel Awards $509,000 in Suit Over Conservation Easement Investments

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Drive Planning Founder Sentenced to 20 Years for $380 Million Ponzi Scheme

Todd Burkhalter, founder and CEO of Georgia-based financial advisory group Drive Planning LLC, received a 20-year federal prison sentence for orchestrating a years-long Ponzi scheme that defrauded more than 2,000 investors of approximately $380 million.