June 2020- Waltham, MA
The FINRA records of Gerald Allan Eaton , a former stock broker who was last employed by Commonwealth Financial Network , disclose a regulatory event resulting in his bar from the securities industry and a termination.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In November 2019, Eaton was permanently barred from the securities industry by the FINRA after allegations that Eaton failed to provide documents and information requested by FINRA in connection with its investigation into the reason for his termination by Commonwealth.
Eaton worked for Commonwealth Financial Network from March of 1995 until October 2019, when he was discharged by Commonwealth who alleged that he had committed forgery and wrongfully taken property.
If you have problems in an account handled by Gerald Allan Eaton call for a no charge consultation .
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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