Erez Law is currently investigating former Commonwealth Financial Network broker Stephanie Hayes (CRD# 1224647) regarding unsuitable investment recommendations. She was registered with Commonwealth Financial Network in South Nyack, New York, from 2008 to 2021.
Stephanie Hayes Customer Complaints
She has been the subject of three customer complaints between 1999 and 2024, one of which was denied, according to her CRD report. The most recent complaint was regarding:
October 2024. “Claimants allege that advisor recommended unsuitable and risky securities in unsuitable concentrations.” The customer is seeking $2,009,700 in damages, and the case is currently pending. The complaint was regarding common and preferred stocks, and it took place while she was registered with Commonwealth Financial Network.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Commonwealth Financial Network may be liable for investment or other losses suffered by Stephanie Hayes’ customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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