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 |
|---|---|---|---|---|---|---|---|---|
| Christopher William Pascale | 2562003 | 1 | 03/08/2011 | Customer Dispute | Denied | $9,100.00 | $0.00 | See FINRA Report |
| Kris Tulane Maksimovich | 4185617 | 2 | 03/08/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel Edward Murphy | 2835951 | 1 | 11/22/2010 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Joseph Anthony Jiovenetta | 1242350 | 1 | 11/12/2010 | Customer Dispute | Denied | $103,327.00 | $0.00 | See FINRA Report |
| Harsh Mehra | 3024860 | 4 | 10/25/2010 | Customer Dispute | Denied | $840,324.00 | $0.00 | See FINRA Report |
| Daniel Armand Groat | 2133221 | 1 | 09/15/2010 | Customer Dispute | Denied | $40,340.00 | $0.00 | See FINRA Report |
| Joseph Kenneth Edwins | 2356890 | 2 | 09/03/2010 | Customer Dispute | Denied | $11,512.70 | $0.00 | See FINRA Report |
| Joseph Kenneth Edwins | 2356890 | 2 | 09/02/2010 | Customer Dispute | Denied | $34,274.30 | $0.00 | See FINRA Report |
| Ralph Bertram Williams | 866490 | 1 | 08/23/2010 | Customer Dispute | Denied | $44,000.00 | $0.00 | See FINRA Report |
| John Michael Augustine | 2304923 | 2 | 05/20/2010 | Customer Dispute | Denied | $170,000.00 | $0.00 | See FINRA Report |