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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Kenneth Edwins | 2356890 | 2 | 09/03/2010 | Customer Dispute | Denied | $11,512.70 | $0.00 | See FINRA Report |
| Joseph Kenneth Edwins | 2356890 | 2 | 09/02/2010 | Customer Dispute | Denied | $34,274.30 | $0.00 | See FINRA Report |
| Ralph Bertram Williams | 866490 | 1 | 08/23/2010 | Customer Dispute | Denied | $44,000.00 | $0.00 | See FINRA Report |
| John Jay Higgins | 1622053 | 1 | 07/29/2010 | Customer Dispute | Closed-No Action | $0.00 | $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 |
| John Michael Augustine | 2304923 | 2 | 05/20/2010 | Customer Dispute | Denied | $170,000.00 | $0.00 | See FINRA Report |
| Jeffrey David Rockwell | 4541672 | 2 | 05/19/2010 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Klaudia Anna A Conradt | 2713581 | 1 | 05/07/2010 | Customer Dispute | Settled | $48,125.00 | $0.00 | See FINRA Report |
| Mark Stephen Catrabone | 2340001 | 2 | 04/07/2010 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Steven Joseph Blandino | 2687345 | 2 | 04/06/2010 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |