Litigation: SEC Obtains $93 Million Judgment Against Massachusetts Investment Adviser
April 05, 2024
April 05, 2024
WASHINGTON, April 5 -- The Securities and Exchange Commission issued the following litigation release (No. 1:19-cv-11655; D. Mass. filed Aug. 1, 2019) involving Commonwealth Equity Services LLC dba Commonwealth Financial Network:
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On March 29, 2024, the United States District Court for the District of Massachusetts entered a final judgment against Commonwealth Equity Services, LLC d/b/a Commonwealth Financial Network, a registered investment adviser and broker-deal . . .
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On March 29, 2024, the United States District Court for the District of Massachusetts entered a final judgment against Commonwealth Equity Services, LLC d/b/a Commonwealth Financial Network, a registered investment adviser and broker-deal . . .