SEC Obtains Final Consent Judgment as to Massachusetts Investment Adviser for Alleged Failure to Disclose Conflicts
March 27, 2026
March 27, 2026
WASHINGTON, March 27 -- 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 23, 2026, the U.S. District Court for the District of Massachusetts entered a final judgment by consent as to Commonwealth Equity Services, LLC d/b/a Commonwealth Financial Network, in connection with previously filed charges of . . .
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On March 23, 2026, the U.S. District Court for the District of Massachusetts entered a final judgment by consent as to Commonwealth Equity Services, LLC d/b/a Commonwealth Financial Network, in connection with previously filed charges of . . .