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 |
|---|---|---|---|---|---|---|---|---|
| Ivy Hope Menchel | 2108172 | 1 | 04/13/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sara Jane Frank-Hepfer | 5226675 | 1 | 03/28/2018 | Customer Dispute | Denied | $7,456.05 | $0.00 | See FINRA Report |
| John Francis Wood | 1321814 | 1 | 02/11/2018 | Customer Dispute | Closed-No Action | $8,976.89 | $0.00 | See FINRA Report |
| S Reid Markham III | 5064180 | 1 | 12/19/2017 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Patrick Lawrence Bria | 3208800 | 1 | 12/16/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Adam Johnson | 5028457 | 2 | 10/13/2017 | Customer Dispute | Closed-No Action | $26,000.00 | $0.00 | See FINRA Report |
| Kyle Robert Tatro | 5030017 | 2 | 08/16/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Heidi Lydia Hanson | 2888615 | 1 | 08/03/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Austin King | 2865236 | 7 | 05/18/2017 | Customer Dispute | Award / Judgment | $470,000.00 | $129,133.00 | See FINRA Report |
| James Austin King | 2865236 | 7 | 05/16/2017 | Customer Dispute | Award / Judgment | $640,000.00 | $550,000.00 | See FINRA Report |