• Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Commonwealth Financial Network Former Broker William Grundig
Rex Securities Law Investment Fraud Attorney Investigates Commonwealth Financial Network Former Broker William Grundig 150 150 Robert Rex, Esq.

Last Updated: September 2025 — Freehold, NJ Here’s what you need to know about Freehold, NJ stockbroker William Grundig: Name: William Andrew Grundig Current Employer: Kestra Investment Services, LLC (broker); Kestra Advisory…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Commonwealth Financial Network Broker Mark Erwin
Rex Securities Law Investment Fraud Attorney Investigates Commonwealth Financial Network Broker Mark Erwin 150 150 Robert Rex, Esq.

Last Updated: July 2025 — Napa, California Here’s what you need to know about Napa, CA stockbroker Mark Douglas Erwin: Name: Mark Douglas Erwin CRD Number: 3039639 Current Employer: Commonwealth Financial Network Primary…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Commonwealth Financial Network Broker Kevin O’Sullivan
Rex Securities Law Investment Fraud Attorney Investigates Commonwealth Financial Network Broker Kevin O’Sullivan 150 150 Robert Rex, Esq.

Last Updated: July 2025 – Quincy, MA Here’s what you need to know about Quincy, MA, stockbroker Kevin O’Sullivan: Name: Mr. Kevin Patrick O’Sullivan Current Employer: Commonwealth Financial Network Prior Employers: Lincoln Financial…

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  • Robert Rex, Esq.

[INVESTOR ALERT] Commonwealth Financial Network Hit with $93 Million Penalty by SEC
[INVESTOR ALERT] Commonwealth Financial Network Hit with $93 Million Penalty by SEC 150 150 Robert Rex, Esq.

Last Updated: April 2024 Commonwealth Financial Ordered to pay $93 Million Judgment For Failure to Disclose Conflicts of Interest Five years of litigation between the U.S. Securities & Exchange Commission…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Brad May formerly with Commonwealth Financial Network
Rex Securities Law Investment Fraud Attorney Investigates Brad May formerly with Commonwealth Financial Network 150 150 Robert Rex, Esq.

Last Updated: November 2023 (Sandersville, GA) Brad May Investigation Summary Here’s what you need to know about Sandersville, GA, stockbroker Justin May: Name: Mr. Justin Bradford May Current Employer: LPL…

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  • Robert Rex, Esq.

Benjamin Bourgeois, Jr.-Former Commonwealth Financial Broker-Discloses Customer Disputes and a Termination-Metairie, LA
Benjamin Bourgeois, Jr.-Former Commonwealth Financial Broker-Discloses Customer Disputes and a Termination-Metairie, LA 150 150 Robert Rex, Esq.

November 2020- Metairie, LA According to publicly available records, former Commonwealth Financial Network,  financial advisor Benjamin Bourgeois, Jr.   is barred from FINRA and discloses 3 prior customer disputes, a pending…

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  • Robert Rex, Esq.

Gerald Eaton-Former Commonwealth Broker Barred from FINRA-Terminated After Allegations of Forgery-Waltham, MA
Gerald Eaton-Former Commonwealth Broker Barred from FINRA-Terminated After Allegations of Forgery-Waltham, MA 150 150 Robert Rex, Esq.

June 2020- Waltham, MA The FINRA records of Gerald Allan Eaton  , a former stock broker who was last employed  by  Commonwealth Financial Network , disclose a regulatory event resulting in his bar from the securities…

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  • Robert Rex, Esq.

Cullen Kempson-Former Commonwealth Financial Network Broker-Discloses Regulatory Event & Discharge From Employment-Sparta, NJ
Cullen Kempson-Former Commonwealth Financial Network Broker-Discloses Regulatory Event & Discharge From Employment-Sparta, NJ 150 150 Robert Rex, Esq.

May 2017- Sparta, NJ According to publicly available records V. Cullen Kempson III (CRD#1280887) ,  a  stockbroker currently registered with American Portfolios Financial Services, Inc discloses a prior regulatory event and a termination from employment. The…

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  • Robert Rex, Esq.

RIcky R. Moore-Sagepoint Financial Broker-Discloses Regulatory Suspension/Fine-Angleton, TX
RIcky R. Moore-Sagepoint Financial Broker-Discloses Regulatory Suspension/Fine-Angleton, TX 150 150 Robert Rex, Esq.

May 2017-Angleton, TX The FINRA records of RIcky R. Moore,  a  stockbroker who is employed by  Sagepoint Financial  disclose a final regulatory event, 3 prior customer disputes and a termination from employment. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Lloyd Dotson-Former Commonwealth Financial Network Broker-Sanctioned by Securities Regulator-New Canaan, CT
Lloyd Dotson-Former Commonwealth Financial Network Broker-Sanctioned by Securities Regulator-New Canaan, CT 150 150 Robert Rex, Esq.

April 2017- New Canaan, CT According to publicly available records Lloyd Dotson , (CRD# 2551716) ,  a  former stockbroker who was last employed by Commonwealth Financial Network discloses a prior regulator event, 2 prior customer…

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