Claims Against Stock Brokers

Richard Jay Rustic (CRD#1128406) and COMMONWEALTH FINANCIAL NETWORK

Sean Sweeney -

The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Richard Jay Rustic (CRD#1128406) regarding allegations made regarding the following:

Claim(s) Made Against Richard Jay Rustic:

Claim Date: 8/13/2023

“Daughter of deceased client alleging advisor breached his fiduciary duty when he allowed the decedent to sign a change of beneficiary form, changing the beneficiary of several IRAs from the daughter to the decedent‘s wife.”

This claim, as of this posting, is currently Pending.

Claim Date: 2/23/2024

“Daughter of deceased client alleging advisor breached his fiduciary duty when he allowed the decedent to sign a change of beneficiary form, changing the beneficiary of several IRAs from the daughter to the decedent‘s wife.”

This claim, as of this posting, is currently Pending.

See more information on FINRA’s BrokerCheck site for Richard Jay Rustic.

Were you a customer of Richard Jay Rustic?

Brokerage firms have the responsibility to oversee all representatives who are registered with their firm, including Richard Jay Rustic, and must ensure that they adhere to all securities rules, regulations, and internal policies. If a brokerage firm fails to do so, it may be held responsible for investment losses sustained by customers due to a lack of supervision.If you were a client of Richard Jay Rustic and COMMONWEALTH FINANCIAL NETWORK from BRISTOL, CT, and experienced any issues or problems, the Securities Lawyers at Halling & Cayo, S.C. are interested in discussing the possibility of a claim with you. (A further explanation is here, My Financial Advisor lost my money, what now?.)

The investment recovery lawyers at Halling & Cayo S.C. bring claims on behalf of individual investors or groups of investors who have lost funds. Most of these customers have signed FINRA arbitration agreements that outline the process for resolving disputes, including claims for investment loss recovery. (See our discussion of FINRA in our video, Is FINRA a good thing?.) As the SEC advises, it is important to find an attorney who has experience handling securities complaints. If you were a customer of Richard Jay Rustic and COMMONWEALTH FINANCIAL NETWORK and experienced investment losses, please get in touch with the Securities Lawyers. We only receive payment if we can recover your money. Please note that there may be time limits or statutes of limitations that apply to your claim, so it is important to contact an attorney as soon as possible.

Contact The Securities Lawyers

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Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.