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 |
|---|---|---|---|---|---|---|---|---|
| William Edward Prue | 2129636 | 2 | 11/13/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Sean George Brown | 1965352 | 2 | 11/12/2008 | Customer Dispute | Settled | $42,213.90 | $0.00 | See FINRA Report |
| Robert Nicholas Zerah | 2209431 | 2 | 11/07/2008 | Customer Dispute | Settled | $5,740.00 | $0.00 | See FINRA Report |
| Sean George Brown | 1965352 | 2 | 11/04/2008 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Michael David Lambrix | 4310513 | 3 | 10/27/2008 | Customer Dispute | Denied | $44,557.00 | $0.00 | See FINRA Report |
| Richard Preston Tonkinson | 2178590 | 3 | 10/20/2008 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| James J Quinlan | 4125823 | 1 | 10/17/2008 | Customer Dispute | Denied | $8,655.00 | $0.00 | See FINRA Report |
| Lori Ann Williams | 3019916 | 2 | 10/16/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Troy Jean Aucoin | 4491926 | 3 | 10/14/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Lori Ann Williams | 3019916 | 2 | 10/07/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |