Our Staff has compiled our research into a database of FINRA Broker Disclosures for Commonwealth Financial Network. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Shabri Gandhi Moore | 2894381 | 1 | 10/11/2022 | Customer Dispute | Denied | $230,000.00 | $0.00 | See FINRA Report |
| Joseph Appolito | 6698 | 1 | 09/15/2022 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Frank Edward Clegg | 725190 | 1 | 08/18/2022 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| Richard Ray Rainforth | 4151558 | 1 | 08/03/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Jonathan Sokolowski | 2221001 | 2 | 08/02/2022 | Customer Dispute | Pending | $30,000.00 | $0.00 | See FINRA Report |
| Vanessa Michelle Jilot | 5350507 | 1 | 07/28/2022 | Customer Dispute | Pending | $1,200,000.00 | $0.00 | See FINRA Report |
| Kenneth Alan Muskat | 4230037 | 2 | 07/04/2022 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Steven Wayne Aiken | 3227646 | 1 | 05/03/2022 | Customer Dispute | Settled | $16,424.20 | $0.00 | See FINRA Report |
| Kevin Patrick O'Sullivan | 4499275 | 1 | 04/27/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Luke Warren McKelvy | 5249765 | 1 | 03/31/2022 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |