JOHN HOWLEY WHALEN is currently employed as a Broker and/or Investment Adviser at COMMONWEALTH FINANCIAL NETWORK located at 1001 Bishop Street, Suite 2650, Honolulu, HI, 96813.
JOHN HOWLEY WHALEN has worked at COMMONWEALTH FINANCIAL NETWORK since May 29, 2015
Disclosure History
JOHN HOWLEY WHALEN has 1 Disclosure Event(s).
Date: March 25, 2009 Category: Customer Dispute Allegations: CLIENTS ALLEGE THE SALE OF TWO VARIABLE INSURANCE POLICIES WERE NOT SUITABLE DUE TO THEIR AGES. CLIENTS FURTHER ALLEGE THEY DID NOT RECEIVE COMPUTER PRINTOUTS OR PROSPECTUS BOOKLETS. CLIENTS ARE REQUESTING THE FIRM TO REVERSE THE 1035 EXCHANGE BACK TO MASSMUTUAL. DAMAGES ARE UNSPECIFIED. Broker Comment: THE FIRM HAS FOUND NO BASIS TO THIS CUSTOMER'S COMPLAINT.
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