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 |
|---|---|---|---|---|---|---|---|---|
| Alexander B Bender | 5845690 | 1 | 03/18/2020 | Customer Dispute | Denied | $12,049.80 | $0.00 | See FINRA Report |
| Rick Ray Staggs | 1261156 | 1 | 10/14/2019 | Customer Dispute | Denied | $16,000.00 | $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 |
| 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 |
| Sara Jane Frank-Hepfer | 5226675 | 1 | 03/28/2018 | Customer Dispute | Denied | $7,456.05 | $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 |
| Heidi Lydia Hanson | 2888615 | 1 | 08/03/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Myron Adamczuk | 1492855 | 1 | 10/31/2016 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |