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MLex

August 01, 2019

Securities and Exchange Commission v. Commonwealth Equity Services, LLC

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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.

Coverage

  1. March 24, 2026

    Commonwealth Financial To Pay $5M To Settle SEC Suit

    The U.S. Securities and Exchange Commission has agreed to accept $5 million from Commonwealth Financial Network to resolve conflict disclosure claims, nearly a year after the First Circuit overturned the agency's previous $93 million judgment against the firm.

7 other articles on this case. View all »

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