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FINRA Awards for Commonwealth Financial Network

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Displaying 10 out of 52 results
Case Number Award Date Case Summary Customer Case? Amount Granted
24-0045305/22/2024Claimant(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
20-0337907/26/2023Claimant(s): Andrew Wysocki, Dean Wysocki
Claimant Lawyers(s): Michael Hill
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Samuel H. Chorches, Peter E. Gillespie, Ilene J Feldman
Hearing Site: Hartford, CT
Checkmark IconExpungement
22-0122705/26/2023Claimant(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
21-0161802/27/2023Claimant(s): Kenton Rose, Marie Rose
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): Charles Kiker, Commonwealth Financial Network
Respondent Lawyers(s): James L. Komie
Arbitrator(s): Theodore W. Wrobleski, Robert S. Grabemann, Helen B Bloch
Hearing Site: Chicago, IL
Checkmark Icon$0
22-0125012/08/2022Claimant(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
21-0017510/18/2022Claimant(s): Lori Limebeer
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Marc Kalish, Patrick Irvine, Thomas James Walsh
Hearing Site: Phoenix, AZ
Checkmark IconExpungement
17-0123808/15/2022Claimant(s): Robert Little
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Andrew Drago, Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Robert J. Scafuri, John James McGovern, Walter Meagher
Hearing Site: Syracuse, NY
Checkmark Icon$0
20-0317903/29/2022Claimant(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
20-0389012/22/2021Claimant(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
20-0118001/27/2021Claimant(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

52 Results

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