COMMONWEALTH CHURCH FINANCE INC.

Regulator action

United States. Named in 5 sanctions listings.

Sanctions and listings5

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/22/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070011288401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Commonwealth Church Finance, Inc. d/b/a Charter Financial Services, Respondent Member [BD No. 11768] General Securities Representative, General Securities Principal, and Introducing Broker-Dealer/Financial and Operations Principal [CRD No. Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Respondents submit this Letter
Reference 20070011288401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/10/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008011619001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Commonwealth Church Finance, Inc. d/b/a Charter Financial Services, Respondent FINRA Member Firm BD No. 11768 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Commonwealth Church Finance, Inc. ("Commonwealth" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a
Reference 2008011619001data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/22/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007011288401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Commonwealth Church Finance, Inc. d/b/a Charter Finance Services, Respondent Member [BD No. 11768]
Reference 2007011288401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/05/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003959001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Commonwealth Church Finance, Inc. d/b/a Charter Financial Services, Respondent Member [BD No. 11768] Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged
Reference 2006003959001data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/05/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003959001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Commonwealth Church Finance, Inc. d/b/a Charter Financial Services, Respondent Member [BD No. 11768] Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged
Reference 2006003959001data-portal.finra.org finra.org

Other names2

Also known as2

CHARTER FINANCIAL SERVICESCOMMONWEALTH CHURCH FINANCE INC

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.