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 |
|---|---|---|---|---|---|---|---|---|
| James Austin King | 2865236 | 7 | 05/16/2017 | Customer Dispute | Award / Judgment | $600,000.00 | $127,925.00 | See FINRA Report |
| Kurt Lash | 2419624 | 1 | 04/20/2017 | Customer Dispute | Withdrawn | $25,500.00 | $0.00 | See FINRA Report |
| James Austin King | 2865236 | 7 | 01/25/2017 | Customer Dispute | Award / Judgment | $2,250,000.00 | $600.00 | See FINRA Report |
| John Myron Adamczuk | 1492855 | 1 | 10/31/2016 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| John Robert Raybould | 3111222 | 2 | 08/31/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Laurence Christian Sorensen Walker | 1001751 | 3 | 06/29/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Marian Martin Deering | 3254371 | 1 | 06/29/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Justin Neil Hutt | 4668154 | 1 | 04/24/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles Peter Brown | 1833265 | 1 | 04/21/2016 | Customer Dispute | Withdrawn | $10,000.00 | $0.00 | See FINRA Report |
| Gigi Desiree Schneppat | 5823273 | 1 | 03/22/2016 | Customer Dispute | Denied | $131,626.00 | $0.00 | See FINRA Report |