JAMES EDWARD TYRRELL is currently employed as a Broker and/or Investment Adviser at COMMONWEALTH FINANCIAL NETWORK located at 200 GLASTONBURY BLVD, SUITE 101, GLASTONBURY, CT, 06033.
JAMES EDWARD TYRRELL has worked at COMMONWEALTH FINANCIAL NETWORK since September 30, 2011
Disclosure History
JAMES EDWARD TYRRELL has 2 Disclosure Event(s).
Date: July 21, 2004 Category: Customer Dispute Allegations: CLIENT IS ALLEGING THAT A VARIABLE ANNUITY PRODUCT'S ALLOCATION WAS INCONSISTENT WITH HIS RISK TOLERANCE AND INVESTMENT OBJECTIVE. Damage Amount Requested: $9,000.00 Broker Comment: CLIENT SIGNED INVESTOR PROFILE DOCUMENTATION INDICATING RISK TOLERANCE AND INVESTMENT OBJECTIVE CONSISTENT WITH THE AGENT'S RECOMMENDATIONS.
Date: March 13, 2003 Category: Employment Separation After Allegations Firm Name: VERAVEST INVESTMENTS, INC Termination Type: Discharged Allegations: FIRM DETERMINDED THAT REP HAD REMOVED CONFIDENTIAL CLIENT RECORDS FROM FIRM PREMISES IN VIOLATION OF FIRM POLICIES Broker Comment: VERAVEST CONCLUDED ITS INTERNAL INVESTIGATION AND HAS CONCLUDED THAT THE RECORDS WERE RETURNED AND NO IMPROPER CONDUCT OCCURRED.
More Information
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