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 |
|---|---|---|---|---|---|---|---|---|
| Steven David Schlegel | 2210096 | 1 | 09/07/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel Renard Berglund | 2164698 | 2 | 08/20/2004 | Customer Dispute | Denied | $103,481.00 | $0.00 | See FINRA Report |
| Robert Emmett Tubridy Jr | 4509256 | 2 | 08/12/2004 | Customer Dispute | Settled | $12,700.00 | $0.00 | See FINRA Report |
| James Edward Tyrrell | 1447382 | 2 | 07/21/2004 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Daniel Earl Cook | 2202360 | 1 | 06/25/2004 | Customer Dispute | Settled | $7,000.00 | $0.00 | See FINRA Report |
| Thomas Savone | 1435179 | 2 | 05/18/2004 | Customer Dispute | Settled | $6,661.17 | $0.00 | See FINRA Report |
| Christopher James Goetz | 2585194 | 1 | 05/07/2004 | Customer Dispute | Settled | $71,089.70 | $0.00 | See FINRA Report |
| John Edward Potter | 2550060 | 2 | 05/07/2004 | Customer Dispute | Settled | $13,979.60 | $0.00 | See FINRA Report |
| Donald Joseph Sowa | 1754537 | 1 | 05/06/2004 | Customer Dispute | Award / Judgment | $523,985.00 | $314,028.00 | See FINRA Report |
| Christopher David Werner | 4538721 | 1 | 05/05/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |