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 |
|---|---|---|---|---|---|---|---|---|
| Michael Anthony Embrescia | 2669484 | 2 | 02/15/2011 | Customer Dispute | Settled | $112,000.00 | $0.00 | See FINRA Report |
| Lisa Anne Noonan | 3140844 | 2 | 02/14/2011 | Customer Dispute | Settled | $6,500.00 | $0.00 | See FINRA Report |
| David Edward Ward | 2689539 | 1 | 12/13/2010 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Michael Angel Cano | 3021978 | 1 | 12/12/2010 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Daniel Edward Murphy | 2835951 | 1 | 11/22/2010 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Joseph Anthony Jiovenetta | 1242350 | 1 | 11/12/2010 | Customer Dispute | Denied | $103,327.00 | $0.00 | See FINRA Report |
| Harsh Mehra | 3024860 | 4 | 10/25/2010 | Customer Dispute | Denied | $840,324.00 | $0.00 | See FINRA Report |
| Jerome Henry Sullivan | 1569145 | 1 | 10/21/2010 | Customer Dispute | Settled | $14,354.20 | $0.00 | See FINRA Report |
| William Watkins Peerman | 1238636 | 1 | 09/17/2010 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Daniel Armand Groat | 2133221 | 1 | 09/15/2010 | Customer Dispute | Denied | $40,340.00 | $0.00 | See FINRA Report |