Ernesto Chavez (CRD: 4315877) faces a new pending claim on BrokerCheck over an investment made in 2018. The customer alleges $180,000 in damages, and no arbitrator has ruled on the claim.
STEPHANIE LISA HAYES (Lisa Hayes), a former broker/financial advisor with COMMONWEALTH FINANCIAL NETWORK, INC., of South Nyack, New York, recently had a “Customer Dispute” filed against her on October 31, 2024.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, the allegations against STEPHANIE LISA HAYES reported in the “Customer Dispute” are as follows, “Claimants allege that advisor recommended unsuitable and risky securities in unsuitable concentrations.” The damage amount requested is $2,009,700.00.
Hayes was registered with COMMONWEALTH FINANCIAL NETWORK as a broker from 05/15/2008 - 11/02/2021 and as a financial advisor from 06/29/2021 - 06/24/2024.
The SEC’s website shows that STEPHANIE LISA HAYES is now registered as a financial advisor since June of 2024, with PERIGON WEALTH MANAGEMENT, LLC of South Nyack, New York.
According to SEC’s website, STEPHANIE LISA HAYES, has been in the securities industry for 40 years, and was registered with 6 firms. Hayes has 3 disclosures on her report, all 3 are “Customer Disputes.” A dispute filed in 1999 settled for $47,431.00 following these allegations, “CLIENTS ARE ALLEGING THEY WERE NOT SUITABLE FOR INVESTMENT IN VAN ECK GLOBAL HARD ASSETS FUND. A MUTUAL FUND WHICH PRIMARILY INVESTS IN GOLD.” A dispute filed in 2000, with the allegations of, “CLIENTS ALLEGE EXCESSIVE COMMISSIONS, UNAUTHORIZED TRADING AND SUITABILITY OF CERTAIN TRANSACTIONS. EACH CONCERN WAS ADDRESSED AND THE ISSUE WAS DROPPED WITHOUT FURTHER ACTION. THERE WAS NO DAMAGE AMOUNT SPECIFIED,” was denied. The “Customer Dispute” listed above requesting $2,009,700.00, filed in 2024, is pending.
FINRA’s website states that Regulation Best Interest, or Reg BI, imposes a "best interest" standard of conduct on broker/dealers and their investment professionals when they make a recommendation to a retail client of any securities transaction, or investment strategy involving securities. When making a recommendation to a retail customer, a broker/dealer must act in the retail customer's best interests and not place its own interests ahead of the customer's interests.
To discuss this or any other securities related issues contact Soreide Law Group and speak to an experienced securities lawyer at no cost at: 888-760-6552.
Soreide Law Group represents our clients before FINRA nationwide on a contingency basis, no fee to you if no recovery.
Ernesto Chavez (CRD: 4315877) faces a new pending claim on BrokerCheck over an investment made in 2018. The customer alleges $180,000 in damages, and no arbitrator has ruled on the claim.
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