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 |
|---|---|---|---|---|---|---|---|---|
| Claude William Rice | 1593643 | 1 | 03/06/2002 | Customer Dispute | Closed-No Action | $8,389.00 | $0.00 | See FINRA Report |
| Joshua Alexander Paul | 2493235 | 1 | 02/26/2002 | Customer Dispute | Denied | $111,000.00 | $0.00 | See FINRA Report |
| Jeffrey Gordon Kluve | 3136247 | 1 | 02/20/2002 | Customer Dispute | Settled | $62,057.00 | $0.00 | See FINRA Report |
| Dennis L Morin | 1609556 | 2 | 02/18/2002 | Customer Dispute | Settled | $13,772.20 | $0.00 | See FINRA Report |
| Chad Gerald Zimmerman | 3195768 | 1 | 02/14/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Charles Richard Herrold | 712573 | 1 | 01/23/2002 | Customer Dispute | Closed-No Action | $32,350.00 | $0.00 | See FINRA Report |
| William Anthony Dwyer | 2039844 | 2 | 01/21/2002 | Customer Dispute | Denied | $17,258.60 | $0.00 | See FINRA Report |
| Paul David Levin | 1294440 | 2 | 01/09/2002 | Customer Dispute | Denied | $5,942.82 | $0.00 | See FINRA Report |
| Leo David Boisvert | 2265493 | 2 | 12/17/2001 | Customer Dispute | Denied | $47,318.00 | $0.00 | See FINRA Report |
| Jeffrey Mark Ricks | 1026184 | 2 | 12/03/2001 | Customer Dispute | Denied | $1,151,650.00 | $0.00 | See FINRA Report |