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 |
|---|---|---|---|---|---|---|---|---|
| James Austin King | 2865236 | 7 | 05/18/2017 | Customer Dispute | Award / Judgment | $470,000.00 | $129,133.00 | See FINRA Report |
| James Austin King | 2865236 | 7 | 05/16/2017 | Customer Dispute | Award / Judgment | $640,000.00 | $550,000.00 | See FINRA Report |
| James Austin King | 2865236 | 7 | 05/16/2017 | Customer Dispute | Award / Judgment | $600,000.00 | $127,925.00 | See FINRA Report |
| James Austin King | 2865236 | 7 | 01/25/2017 | Customer Dispute | Award / Judgment | $2,250,000.00 | $600.00 | See FINRA Report |
| David William Hart | 4503764 | 2 | 07/22/2014 | Customer Dispute | Award / Judgment | $3,800,000.00 | $725,000.00 | See FINRA Report |
| Gary Anthony Brownfield | 3172055 | 1 | 02/25/2014 | Customer Dispute | Award / Judgment | $250,000.00 | $45,050.00 | See FINRA Report |
| James Austin King | 2865236 | 7 | 10/15/2013 | Customer Dispute | Award / Judgment | $1,000,000.00 | $0.00 | See FINRA Report |
| Darin James Pierce | 2511075 | 1 | 06/25/2010 | Customer Dispute | Award / Judgment | $24,370.00 | $3,000.00 | See FINRA Report |
| Michael Howard Hefner | 2949943 | 1 | 08/30/2006 | Customer Dispute | Award / Judgment | $0.00 | $215,625.00 | See FINRA Report |
| Donald Joseph Sowa | 1754537 | 1 | 05/06/2004 | Customer Dispute | Award / Judgment | $523,985.00 | $314,028.00 | See FINRA Report |