Articles Tagged with Commonwealth Financial Network

Benjamin BourgeoisPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that former Louisiana-based Commonwealth Financial Network broker/adviser Benjamin Bourgeois, who was terminated from a former employer and is currently not affiliated with any broker-dealer firm, has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Benjamin Bourgeois (CRD# 728368).

Benjamin Bourgeois has spent 27 years in the securities industry and was most recently registered with Commonwealth Financial Network in Metairie, Louisiana (2015-2019). Previous registrations include LPL Financial in Metairie, Louisiana (2014-2015); Sterne Agee & Leach in New Orleans, Louisiana (2009-2014); FBT Investments in Harvey, Louisiana (2001-2009); Sisung Securities Corporation in New Orleans, Louisiana (2000-2001); Invest Financial Corporation in Appleton, Wisconsin (2000); American Fronteer Financial Corporation in Denver, Colorado (1996-2000); Dickinson & Company in Des Moines, Iowa (1994-1996); and FN Wolf & Company (1991-1994). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 22, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 13, 1991; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on May 15, 1991; and Series 24 (General Securities Principal Examination), which he obtained on June 1, 1994. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint, and was discharged from his former employer in connection to alleged rule violations.

Irwin Gross 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.

Robert HarrisPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2017 indicate that Massachusetts-based Commonwealth Financial Network broker Robert Harris has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Harris (CRD# 500164).

Robert Harris has spent 41 years in the securities industry and has been registered with Commonwealth Financial Network in Worcester and Chatham, Massachusetts since 1994. Previous registrations include AF Best Securities in Coral Springs, Florida (1990-1994); Dougherty, Dawkins, Strand & Yost in Minneapolis, Minnesota (1982-1990); Croake Roberts; and Channer Newman Securities Company. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 21, 1982, and Series 7 (General Securities Representative Examination), which he obtained on January 17, 1994. He is a registered broker with 21 US states and territories: California, Colorado, Florida, Georgia, Hawaii, Illinois, Indiana, Kentucky, Louisiana, Maine, Massachusetts, Michigan, New Hampshire, New York, North Carolina, Pennsylvania, Rhode Island, South Carolina, Texas, Vermont, the Virgin Islands, Washington, and Wisconsin.

According to his BrokerCheck report, Robert Harris has received one customer complaint, one pending customer complaint and one denied customer complaint.