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August 01, 2019
Securities and Exchange Commission v. Commonwealth Equity Services, LLC
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1:19-cv-11655
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Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.
Additional or older documents may be available in Pacer.
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April 01, 2024
SEC Wins $93M Judgment Against Commonwealth Financial
A Massachusetts federal judge has handed victory to the U.S. Securities and Exchange Commission by ordering Commonwealth Financial Network to pay $93.2 million due to its "egregious" failure to disclose conflicts of interest to clients who could have used that information to invest in lower cost mutual funds.
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