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 |
|---|---|---|---|---|---|---|---|---|
| Nathan Robert Walters | 2137772 | 1 | 12/31/2009 | Customer Dispute | Settled | $818,521.00 | $0.00 | See FINRA Report |
| John Peter Gingas | 708441 | 1 | 12/21/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Paul Robert Parsons | 2158884 | 1 | 12/21/2009 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| David Lee Erwin | 2513608 | 1 | 12/14/2009 | Customer Dispute | Denied | $6,265.11 | $0.00 | See FINRA Report |
| Stephen Paul Gressett | 3140619 | 2 | 12/07/2009 | Customer Dispute | Closed-No Action | $144,455.00 | $0.00 | See FINRA Report |
| Ronald John Berkowitz | 2274099 | 1 | 12/07/2009 | Customer Dispute | Closed-No Action | $71,250.00 | $0.00 | See FINRA Report |
| John Andrew Donohue | 1001864 | 4 | 11/02/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alecia Lauretta Modahl | 4888607 | 1 | 10/23/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Clinton Hill | 3160063 | 2 | 09/23/2009 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| William Anthony Dwyer | 2039844 | 2 | 09/22/2009 | Customer Dispute | Settled | $11,700.00 | $0.00 | See FINRA Report |