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 |
|---|---|---|---|---|---|---|---|---|
| Paul Michael Vardoulakis | 2520542 | 1 | 01/10/2008 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Raymond Eric Pape | 2476005 | 1 | 10/08/2007 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Nicole Francis | 1685116 | 3 | 10/03/2007 | Customer Dispute | Denied | $540.00 | $0.00 | See FINRA Report |
| John Barrett Steiger | 2206284 | 1 | 09/13/2007 | Customer Dispute | Denied | $127,301.00 | $0.00 | See FINRA Report |
| Suzanne Ross Street Banzet | 3185032 | 1 | 08/12/2007 | Customer Dispute | Denied | $6,500.00 | $0.00 | See FINRA Report |
| James Austin King | 2865236 | 7 | 08/12/2007 | Customer Dispute | Denied | $6,500.00 | $0.00 | See FINRA Report |
| Steven Robert Larson | 2471027 | 1 | 07/30/2007 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Nels Clifford Nelson | 2263938 | 1 | 03/14/2007 | Customer Dispute | Denied | $5,870.00 | $0.00 | See FINRA Report |
| Frederick James Harkins | 3074965 | 1 | 02/21/2007 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Dale Eugene Kramer | 1255103 | 2 | 02/15/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |