FINRA Awards for Commonwealth Financial Network

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 10 out of 19 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
24-00453	05/22/2024	Claimant(s): Nathan Oeming Claimant Lawyers(s): Nathan Oeming Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Peter Wheeler Arbitrator(s): Peter Khalil Hearing Site: Portland, OR
22-01227	05/26/2023	Claimant(s): William Armfield Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Robert K. Jamieson Arbitrator(s): Chase Boone Saunders Hearing Site: Charlotte, NC
22-01250	12/08/2022	Claimant(s): Richard Grund Claimant Lawyers(s): Brian Luther Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Peter Wheeler Arbitrator(s): Layne Verebay, Eric Mealus Hearing Site: Boca Raton, FL
20-03179	03/29/2022	Claimant(s): James Womack Claimant Lawyers(s): Christopher D. Warren Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Peter B. King Arbitrator(s): Robert T. Allen, Robert Neal Hunter, Harvey R. Linder Hearing Site: Charlotte, NC
20-03890	12/22/2021	Claimant(s): Shawn Maloney Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Peter Wheeler Arbitrator(s): Josian Antoine Hearing Site: Albany, NY
20-01180	01/27/2021	Claimant(s): Nathaniel Tilton Claimant Lawyers(s): Tosh Grebenik Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Joe Tully Arbitrator(s): Gerard S. Marsan Hearing Site: Boston, MA
20-01580	11/17/2020	Claimant(s): Jeffrey Deboer Claimant Lawyers(s): Jonathan M. Sterling Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Joe Tully Arbitrator(s): Helen Marinak Blohm Hearing Site: San Francisco, CA
20-00571	10/01/2020	Claimant(s): Scott Biestek Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Peter Wheeler Arbitrator(s): Steven H. Vogel Hearing Site: Chicago, IL
19-01937	06/22/2020	Claimant(s): Suzanne Banzet Claimant Lawyers(s): D. Stuart Punger Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Peter Wheeler Arbitrator(s): Mary E. Woytek, Marie Paulette Levine, Stephen Edwin Anderson Hearing Site: Charlotte, NC
19-03333	04/13/2020	Claimant(s): Robert Blakely Claimant Lawyers(s): Brandon M. Taaffe Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Ellen Rosenberg Arbitrator(s): Robert T. Allen, Susan L. Luck, Dwane Edward Vickstrom Hearing Site: Charlotte, NC