Articles Tagged with Commonwealth Financial

Stephen WhitePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 12, 2016 indicate that former Massachusetts-based Commonwealth Financial Network broker/adviser Stephen White is currently not affiliated with any broker-dealer firm. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. White (CRD# 1034497).

Stephen White has spent 33 years in the securities industry and was most recently registered with Commonwealth Financial Network in Westborough, Massachusetts (1994-2015). Previous registrations include New England Securities in Boston, Massachusetts (1984-2009) and Cigna Securities (1982-1984). He is currently not registered with any state or firm.

According to his BrokerCheck report, Stephen White has received one customer complaint and one pending customer complaint.

Lloyd DotsonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 27, 2016 indicate that former Connecticut-based Commonwealth Financial Network broker Lloyd Dotson is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Dotson (CRD# 2551716).

Lloyd Dotson has spent 20 years in the securities industry and was most recently registered with Commonwealth Financial Network in New Canaan, Connecticut (2006-2016); Merrill Lynch in Stamford, Connecticut (2001-2006); and AG Edwards & Sons in St. Louis, Missouri (1995-2001). He is currently not registered with any state or firm. Continue Reading

Gary BrownfieldPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 11, 2016 indicate that Texas-based Commonwealth Financial Network broker Gary Brownfield has received a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Brownfield (CRD# 3172055).

Gary Brownfield has spent 15 years in the securities industry and has been registered with Commonwealth Financial Network in Frisco and Houston, Texas since 2000. He has no previous registrations. He is a registered broker in 13 US states: California, Colorado, Florida, Idaho, Illinois, Indiana, Iowa, New Jersey, North Carolina, Ohio, Oklahoma, Texas, and Virginia. Continue Reading

shutterstock_1100090The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding California-based Commonwealth Financial broker/adviser James Galante (CRD# 4310538).

James Galante has spent fourteen years in the securities industry and has been registered with Commonwealth Financial Network in San Diego, California since 2013. Previous registrations include SII Investments in San Ramon, California (2008-2013); Securities Service Network in San Diego, California (2006-2008); and FSC Securities Corporation in San Diego, California (2000-2006). He is a registered broker and investment adviser in twelve US states and territories. Continue Reading

John BowmanAccording to records provided by the Financial Industry Regulatory Authority (FINRA), former Connecticut-based Commonwealth Financial Network broker John Bowman is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Bowman (CRD# 1514826).

John Bowman has spent 28 years in the securities industry and was most recently registered with Commonwealth Financial Network in Stratford, Connecticut (1990-2015). Previous registrations include Zahorik Company in Pasadena, California (2003); Fairport Capital in Scottsdale, Arizona (1990); Resource Brokerage (1988-1990); William M. Cadden & Company (1987-1988); First Eastern Equity (1986-1987); and Sperber Adams & Company (1986). He is currently not registered with any state or firm. Continue Reading

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