FRANK GARMAN FITZGERALD

FRANK GARMAN FITZGERALD is currently employed as a Broker and/or Investment Adviser at COMMONWEALTH FINANCIAL NETWORK located at 4566 South DuPont Highway, Camden, DE, 19934.

FRANK GARMAN FITZGERALD has worked at COMMONWEALTH FINANCIAL NETWORK since January 05, 2015

Disclosure History

FRANK GARMAN FITZGERALD has 2 Disclosure Event(s).

Date: January 13, 2012
Category: Customer Dispute
Allegations: CLIENT ALLEGES MISREPRESENTATION OF LOSS POTENTIAL OF VARIABLE ANNUITY PURCHASED 12/2010.
Damage Amount Requested: $6,000.00

Date: June 08, 2011
Category: Employment Separation After Allegations
Firm Name: CCO INVESTMENT SERVICES CORP.
Termination Type: Permitted to Resign
Allegations: IT WAS DISCOVERED THAT MR. FITZGERALD HAD RECEIVED PAYROLL DEPOSITS THAT HE WAS NOT ENTITLED TO.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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