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BRUCE WORTHINGTON of Commonwealth Financial Sued by Securities Division

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22
Feb

BRUCE WORTHINGTON of Commonwealth Financial Sued by Securities Division

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BRUCE WORTHINGTON of Commonwealth Financial Sued by Securities Division

Bruce Worthington, of Commonwealth Financial Network, Sued by Massachusetts Securities Division

 

Have you lost money with financial advisor Bruce Worthington of Middleton, Massachusetts?  We are investigating allegations made by the Massachusetts Securities Division against Bruce C. Worthington, a former advisor at Commonwealth Financial Network and Founders Financial Securities.

 

Massachusetts alleged that Worthington stole $100,000 from an elderly client.  Worthington also was alleged to have created fake statements to show purported gains in the fraudulent investment.  The alleged conduct took place prior to 2013.

 

Bruce Worthington was a financial advisor and registered representative of Founders Financial Securities from June 2013 to September 2018.  He also was affiliated with Commonwealth Financial Network between 1999 and May 2013.  He worked at branch offices in Rowley and Middleton, Massachusetts.  Worthington has been the subject of at least eleven customer complaints during his career, and he was previously terminated by a firm for having too many complaints.

 

Brokerage firms like Commonwealth Financial Network have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; and Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including numerous investors in Massachusetts and the greater Boston area in the past. Our attorneys have recovered millions of dollars for investors against many brokerage firms in the past, including against Commonwealth Financial Network.

 

Click to view:  Bruce Worthington BrokerCheck

 

If you lost money with Bruce Worthington, or Commonwealth Financial Network, please CONTACT US at 720-599-3505 for a free evaluation of your case.

 

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency.  Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency.  All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact.  This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice.  Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis.  In contingent representation, clients may still be liable for costs.

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