Lisa Hayes: $2mm Complaint Against Ex-Commonwealth Advisor

South Nyack, New York financial advisor Lisa Hayes (CRD# 1224647) recently received an investor complaint alleging that she recommended unsuitable investments, resulting in seven-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Commonwealth Financial Network broker is currently registered as an investment advisor with Perigon Wealth Management.

Ms. Hayes’ BrokerCheck report discloses one recent investor complaint. Filed in October 2024, it alleges that as a representative of Commonwealth Financial Network, she “recommended unsuitable and risky securities in unsuitable concentrations.” The pending complaint alleges damages of $2,009,700.

An earlier investor complaint, filed in 1999, similarly alleged that as a representative of Nathan & Lewis Securities, she recommended unsuitable investments. In 2000 the complaint reached a settlement of $47,431.

Perigon Wealth Management’s website includes a page describing the firm’s mission to provide its clients with peace of mind. “We help clients solve complex financial problems and life challenges,” it explains. “And what they experience is a degree of clarity and comfort that comes with the knowledge that they have a plan for financial freedom and a team working hard to help them get there.”

According to the Financial Industry Regulatory Authority and the Securities and Exchange Commission, Lisa Hayes holds 40 years of securities industry experience. Based in South Nyack, New York, she has been registered as an investment advisor with Perigon Wealth Management since June 2024. Her past registrations include Commonwealth Financial Network (2008-2024), LPL Financial (2002-2008), Nathan & Lewis Securities (1987-2002), Life Planning (1987, 1984-1986), and WS Griffith & Company (1986-1987). Her credentials include the passage of five securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; the Uniform Combined State Law Examination, or Series 66; and the Uniform Securities Agent State Law Examination, or Series 63. She is licensed in New York. (Information current as of December 27, 2024.)

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