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 |
|---|---|---|---|---|---|---|---|---|
| David Lane Ferrucci | 2256660 | 1 | 04/23/2014 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Ruth Mary Matt | 1275768 | 1 | 01/16/2014 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Stanley Jay Steinberg | 2456633 | 1 | 01/09/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Peter Steven Coopersmith | 1256315 | 1 | 11/15/2013 | Customer Dispute | Denied | $140,000.00 | $0.00 | See FINRA Report |
| Edward Assadi Ramsey | 1479488 | 1 | 06/30/2013 | Customer Dispute | Denied | $6,367.00 | $0.00 | See FINRA Report |
| Alan Testa | 4850901 | 2 | 06/20/2013 | Customer Dispute | Denied | $6,175.00 | $0.00 | See FINRA Report |
| Howie James Pentony | 815727 | 1 | 05/13/2013 | Customer Dispute | Denied | $15,602.70 | $0.00 | See FINRA Report |
| Mark Andrew Burr | 5393368 | 1 | 01/08/2013 | Customer Dispute | Denied | $6,205.00 | $0.00 | See FINRA Report |
| Ahmad Motallebi Kashani | 1079626 | 1 | 01/04/2013 | Customer Dispute | Denied | $45,000.00 | $0.00 | See FINRA Report |
| William James Markovich | 4702845 | 1 | 12/14/2012 | Customer Dispute | Denied | $20,242.00 | $0.00 | See FINRA Report |