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 Bryan Beck | 1222316 | 1 | 12/26/2019 | Customer Dispute | Closed-No Action | $70,000.00 | $0.00 | See FINRA Report |
| Rick Ray Staggs | 1261156 | 1 | 10/14/2019 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Normand Poulin | 2696609 | 1 | 10/01/2019 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Steven Wayne La Porte | 3085305 | 2 | 02/21/2019 | Customer Dispute | Denied | $17,425.80 | $0.00 | See FINRA Report |
| Kive Israel Strickoff | 4094082 | 1 | 01/31/2019 | Customer Dispute | Settled | $14,056.20 | $0.00 | See FINRA Report |
| Paul Robert Hammer | 2246912 | 1 | 01/17/2019 | Customer Dispute | Settled | $26,000.00 | $0.00 | See FINRA Report |
| Bert William McClintock | 4273547 | 1 | 10/29/2018 | Customer Dispute | Settled | $5,619.45 | $0.00 | See FINRA Report |
| David Lane Gabay | 1032946 | 2 | 09/12/2018 | Customer Dispute | Denied | $52,500.00 | $0.00 | See FINRA Report |
| Cynthia Harvey Deavel | 2392308 | 1 | 06/15/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Charles Osorio | 2005394 | 1 | 06/11/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |