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 |
|---|---|---|---|---|---|---|---|---|
| John Howley Whalen | 1900188 | 3 | 09/04/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Sean Michael Flynn | 1335032 | 2 | 06/03/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Paul Edward Miller | 1769045 | 1 | 05/29/2024 | Customer Dispute | Denied | $107,993.00 | $0.00 | See FINRA Report |
| Edward Gerald Benz | 1577698 | 1 | 05/22/2024 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| Michael Louis Hebert | 4659328 | 1 | 05/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| James D Neel | 3163614 | 1 | 04/04/2024 | Customer Dispute | Pending | $60,000.00 | $0.00 | See FINRA Report |
| Jeffrey D Hejza | 5083584 | 1 | 03/26/2024 | Customer Dispute | Pending | $5,000,000.00 | $0.00 | See FINRA Report |
| Richard Jay Rustic | 1128406 | 2 | 02/23/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Bryan Keith Chew | 2004384 | 2 | 01/26/2024 | Customer Dispute | Settled | $18,077.40 | $0.00 | See FINRA Report |
| Bryan Keith Chew | 2004384 | 2 | 01/05/2024 | Customer Dispute | Closed-No Action | $9,517.69 | $0.00 | See FINRA Report |