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FINRA Awards for Commonwealth Financial Network

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Displaying 31-33 out of 33 results
Case Number Award Date Case Summary Customer Case? Amount Granted
07-0100301/18/2008Claimant(s): Estate of George C. Tomcik
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Carl Hohnbaum, Jared D. Simmer, Steven P. Franckhauser
Hearing Site: Pittsburgh, PA
Checkmark IconStipulated Award
07-0017012/11/2007Claimant(s): Edward McDonald
Claimant Lawyers(s): Kevin G. Diamond
Respondent(s): Paul Hess, Commonwealth Financial Network
Respondent Lawyers(s): Steven L. Manchel
Arbitrator(s): Gerard S. Marsan, Joseph Charles Kennedy, Richard D. Levin
Hearing Site: Boston, MA
Checkmark Icon$0
07-0087912/06/2007Claimant(s): Jodeen Fletcher
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Larry R. Trussell, Frederick B. Anderson, Jeffrey A. Bainbridge
Hearing Site: Omaha, NE
Checkmark Icon$0

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