FINRA Awards for Commonwealth Financial Network

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

Displaying 11-19 out of 19 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
19-00215	11/05/2019	Claimant(s): Kenneth Ancell Claimant Lawyers(s): Harris M. Freedman Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Peter Wheeler Arbitrator(s): Mary Margaret Bush Hearing Site: San Francisco, CA
19-01130	11/05/2019	Claimant(s): Kyle Skinner Claimant Lawyers(s): William W. Uchimoto Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Thomas G. Nicholson Arbitrator(s): Tina E. Patterson Hearing Site: Wilmington, DE
19-00205	10/02/2019	Claimant(s): Matthew Campbell Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Peter Wheeler, Vice Chairman Arbitrator(s): Gerald W. Hepp Hearing Site: Cleveland, OH
18-03451	03/22/2019	Claimant(s): Gary Jeweler Claimant Lawyers(s): John Bender Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Joe Tully Arbitrator(s): Robert M. Stein Hearing Site: Seattle, WA
18-01112	12/31/2018	Claimant(s): Stephen Swensen Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Corporate Office Arbitrator(s): Merton E. Marks Hearing Site: Salt Lake City, UT
18-01194	11/15/2018	Claimant(s): Kevin Gildner, Shawn Derrick, Commonwealth Financial Network Claimant Lawyers(s): Leonard Weintraub Respondent(s): Invest Financial Corporation Respondent Lawyers(s): Kate E. DiGeronimo Arbitrator(s): Jeffry M. Bauer, Michael P. Hennigan, Clifford C. Rohde Hearing Site: Buffalo, NY
17-02935	05/03/2018	Claimant(s): Rebecca Kennell Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Peter Wheeler Arbitrator(s): W. Michael Kelley Hearing Site: Phoenix, AZ
14-02458	04/02/2015	Claimant(s): Commonwealth Financial Network Claimant Lawyers(s): Joe Tully Respondent(s): Respondent Lawyers(s): Arbitrator(s): J. Maxwell Williams Hearing Site: Memphis, TN
08-04072	03/10/2010	Claimant(s): Commonwealth Financial Network Claimant Lawyers(s): Michael G. Donovan Respondent(s): David Vorbeck, F. Dunnuck Respondent Lawyers(s): Paul D. Vink Arbitrator(s): Peter L. Pointer, Patrick J. Burley, Jeffrey Richard Chiappetta Hearing Site: Indianapolis, IN