Gerald Eaton, Formerly of Commonwealth Financial Network, Barred by FINRA for Failing to Provide Information

Gerald Eaton was being investigated by FINRA following allegations that he was terminated for fraudulently facilitating distributions from clients’ accounts.

The Sonn Law Group is investigating allegations that Gerald Eaton committed misconduct. If you or a family member has suffered losses investing, we want to discuss your case. Please contact us today for a free review of your case.

Gerald Eaton (CRD#: 2279093)  consented to the sanctions and to the entry of findings stating that he failed to provide documents and information requested by FINRA in connection with its investigation that began after learning of the conduct disclosed in a Form U5.

The findings stated that in the Form U5, Eaton’s member firm stated that the reason for the termination was that he fraudulently facilitated distributions from clients’ accounts without their knowledge or consent or for their benefit.

Eaton is barred from association with any FINRA member firm in any capacity. FINRA started investigating Eaton after learning of the termination. On November 8, 2019, FINRA staff sent Eaton a written request to produce information and documents. Eaton told FINRA staff he would not do so.

Contact Us Today

The Sonn Law Group is currently investigating allegations of misconduct. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.