STEVEN JAMES BEAUVAIS is currently employed as a Broker and/or Investment Adviser at COMMONWEALTH FINANCIAL NETWORK located at 14 BREAKNECK HILL ROAD, SUITE 202, LINCOLN, RI, 02865.
STEVEN JAMES BEAUVAIS has worked at COMMONWEALTH FINANCIAL NETWORK since January 03, 1995
Disclosure History
STEVEN JAMES BEAUVAIS has 1 Disclosure Event(s).
Date: November 14, 2011 Category: Customer Dispute Allegations: CUSTOMER ALLEGES ADVISER PLACE HIM IN UNSUITABLE STOCK, FUNDS AND MUTUAL FUNDS AND GAVE HIM IMPROPER ADVICE REGARDING 72(T) WITHDRAWALS. Settlement Amount: $10,000.00 Broker Comment: FIRM MADE A BUSINESS DECISION TO SETTLE MATTER TO AVOID FURTHER DEFENSE COSTS. NO EVIDENCE OF WRONG DOING BY ADVISOR.
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