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 | 10/15/2013 | Customer Dispute | Award / Judgment | $1,000,000.00 | $0.00 | See FINRA Report |
| William Joseph Hastie | 1389076 | 1 | 09/20/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Jon Purkey | 4337588 | 1 | 07/25/2013 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Joseph Kevin Bannon | 3129595 | 1 | 07/08/2013 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| Edward Assadi Ramsey | 1479488 | 1 | 06/30/2013 | Customer Dispute | Denied | $6,367.00 | $0.00 | See FINRA Report |
| Graham John Wilson | 1197343 | 2 | 06/25/2013 | Customer Dispute | Closed-No Action | $68,000.00 | $0.00 | See FINRA Report |
| Alan Testa | 4850901 | 2 | 06/20/2013 | Customer Dispute | Denied | $6,175.00 | $0.00 | See FINRA Report |
| Lori Lantiere Johndrow | 1319750 | 1 | 05/24/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Howie James Pentony | 815727 | 1 | 05/13/2013 | Customer Dispute | Denied | $15,602.70 | $0.00 | See FINRA Report |
| Jennifer Lynn Langstaff | 2594127 | 3 | 04/16/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |