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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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We just wanted to say thanks for your work in helping us get back some of the money we lost. We are not by any means rich, but we have saved some money and we have done so through a tight-fisted approach to most everything we do. So losing a significant chunk of money hurt…especially at a time when everyone else was growing their accounts. We really appreciate the work you did.

Allan and Adele

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FINRA Adopts New Rules to Accelerate Arbitration for Elderly and Vulnerable Investors

The Financial Industry Regulatory Authority (FINRA) has adopted amendments to its Code of Arbitration Procedure to expedite arbitration proceedings for certain eligible parties, according to regulatory updates.

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FINRA Sanctions Cambridge Investment Research for Supervisory Failure in Variable Annuity Exchanges

The Financial Industry Regulatory Authority (FINRA) has censured Cambridge Investment Research and ordered the firm to pay nearly $280,000 after finding that it failed to properly supervise variable annuity exchanges, according to AdvisorHub.