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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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I just received this letter from the CFP Board. Thank you, Thank you, THANK YOU!

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Delaware Judge Dismisses United Capital's Poaching Lawsuit Against Osaic With Leave to Amend

A Delaware judge has dismissed United Capital's lawsuit accusing Osaic of improperly recruiting financial advisors and soliciting client assets, but allowed the wealth management firm to file an amended complaint, according to AdvisorHub.

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LPL Financial Faces Class Action Over Phoenix Annuity Disclosures

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Mariner Wealth Advisors Reports Data Breach Affecting Nearly 9,000 Customers

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