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 |
|---|---|---|---|---|---|---|---|---|
| Lori Ann Williams | 3019916 | 2 | 10/16/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Charles Piscura | 1026461 | 2 | 09/29/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Steven Ray Wisdom | 1050687 | 1 | 08/24/2008 | Customer Dispute | Closed-No Action | $5,400.00 | $0.00 | See FINRA Report |
| Rondi Kim Albrecht | 2381832 | 1 | 07/29/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Ernest Spears | 2582169 | 1 | 05/16/2006 | Customer Dispute | Closed-No Action | $6,000.00 | $0.00 | See FINRA Report |
| Daniel Gregory Tucker | 3030071 | 2 | 09/02/2005 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel Gregory Tucker | 3030071 | 2 | 05/11/2005 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Hulon Otis Warlick | 2590855 | 1 | 11/09/2004 | Customer Dispute | Closed-No Action | $5,070.00 | $0.00 | See FINRA Report |
| Michael Joseph Puls | 2684129 | 1 | 10/31/2003 | Customer Dispute | Closed-No Action | $122,000.00 | $0.00 | See FINRA Report |
| David Allen Eppley | 2019262 | 2 | 08/05/2003 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |