Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2017 indicate that Florida-based Commonwealth Financial Network broker/adviser Irwin Gross has received a regulatory sanction and a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gross (CRD# 230829).
Irwin Gross has spent 44 years in the securities industry and has been registered with Commonwealth Financial Network in Weston, Florida since 2008. Previous registrations include Lincoln Financial Advisors Corporation in Deerfield Beach, Florida (1995-2008); the Lincoln National Life Insurance Company in Fort Wayne, Indiana (1995-2006); Chubb Securities Corporation in Fort Wayne, Indiana (1992-1995); Hartford Equity Sales Company in Hartford, Connecticut (1987-1992); Travelers Equities Sales (1983-1989); Hartford Equity Sales Company (1977-1983); BA Securities Corporation (1972-1976); and Midwestern Investment Corporation (1971-1972). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 23, 1994; Series 3 (National Commodity Futures Examination), which he obtained on April 10, 1989; and Series 1 (Registered Representative Examination), which he obtained on September 25, 1971. He is a registered broker and investment adviser with 14 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Georgia, Massachusetts, New Jersey, New York, North Carolina, Ohio, Tennessee, Texas, and Wyoming.
According to his BrokerCheck report, he has received one regulatory sanction, one pending customer complaint and one denied customer complaint.