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 |
|---|---|---|---|---|---|---|---|---|
| Francesca Maria Banci | 1520988 | 1 | 01/06/2009 | Customer Dispute | Denied | $575,000.00 | $0.00 | See FINRA Report |
| Neal Jeffrey Martin | 1221285 | 1 | 01/05/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Brian Doherty | 2555439 | 1 | 12/16/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Robert Steele | 2066976 | 1 | 12/15/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Raymond James Krusic | 2084930 | 1 | 12/10/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dale Eugene Kramer | 1255103 | 2 | 12/04/2008 | Customer Dispute | Denied | $14,618.00 | $0.00 | See FINRA Report |
| Ray Darby Evans | 1304889 | 1 | 12/01/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Deborah Lyn Lane | 2187967 | 1 | 12/01/2008 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Kim Resendes George | 3172289 | 1 | 11/25/2008 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| John Edward Potter | 2550060 | 2 | 11/17/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |