Benjamin Bourgeois— Alleged Customer Conversions

Benjamin Frank Bourgeois Allegedly Converted Customer Funds Made by Personal Check Purportedly for Investment Purposes

Benjamin Bourgeois allegedly converted customer funds made by personal check purportedly for investment purposes, according to a Pending Customer Dispute filed on Bourgeoisâ€™ FINRA BrokerCheck Report under review by investor rights attorney Alan Rosca.

The aforementioned dispute was filed on April 4, 2019, FINRA states.

Said Dispute further alleges that Bourgeois purportedly employed devices, schemes or artifices to defraud, and allegedly made untrue statements of material facts, and engaged in fraud, FINRA notes.

The aforementioned alleged activities are alleged to have begun sometime in or around 2016, and the Damage Amount Requested in the case is $519,500.00, FINRA states.

Investor rights attorney Alan Rosca, of the Rosca Scarlato LLC law firm, is investigating activity related to Benjamin Bourgeoisâ€™ alleged conversation of customer funds. Investors who believe they may have lost money in activity related to Benjamin Bourgeoisâ€™ alleged conversation of customer funds are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.

Invested with Benjamin Bourgeois?

Benjamin Bourgeois Discharged by Commonwealth Financial for Allegedly BorrowingÂ Cashh from a Client in Alleged Violation of FINRA Rules & Firm Policy

Benjamin Bourgeois was allegedly terminated by Commonwealth Financia Network for allegedly borrowing money from a customer in violation of FINRA RuleÂ and Firm policy, according to a Employment Separation After Allegations disclosure filed on his FINRA BrokerCheck Report under review by Alan Rosca.

Said Disclosure was filed on April 1, 2019, FINRA notes.

Benjamin Bourgeois has 4 disclosures on his FINRA BrokerCheck Report, and has 27 years in the securities industry with 9 firms, including the following:

Commonwealth Financial Network, Metairie, LAâ€” May 29, 2015 to April 1, 2019
LPL Financial LLC, Metairie, LAâ€” March 7, 2014 to June 5, 2015
Sterne, Agee & Leach, Inc., New Orleans, LAâ€” May 14, 2009 to March 11, 2014
FB Investments, Inc, Harvey, LAâ€” April 6, 2001 to May 21, 2009

Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated.

Invested with Benjamin Bourgeois?

Securities Lawyer Investigating

The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Â Benjamin Bourgeoisâ€™ alleged conversation of customer funds. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.

Investors who believe they lost money as a result of Â Benjamin Bourgeoisâ€™ alleged conversation of customer funds may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.

DISCLAIMER

In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow matters about which we report, and/or to publish subsequent updates regarding various developments that may occur in such matters. Readers are encouraged to conduct their own research regarding any such matters and any developments that may or may not have occurred in such matters. Also, the Brokercheck report linked to some of our blogs is the up-to-date version as of the date of accessing by the reader. The information in our blogs is current as of the date of the drafting of the blog, and given that sometimes certain past complaints may no longer be listed in newer Brokercheck reports, some of the events referenced in some of our blogs may later on be removed from newer Brokercheck reports. Visitors may check the most recent version of each brokercheck report at www.finra.org, and may contact FINRA for the earlier version of the Brokercheck report upon which various blogs may be based.

If you believe you lost money as a result of investment-related fraud or misconduct, please contact our law firm for a free, no-obligation evaluation of your recovery options.

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