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 |
|---|---|---|---|---|---|---|---|---|
| Richard Ray Rainforth | 4151558 | 1 | 08/03/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Angelica Maria Lopez | 4932635 | 1 | 10/05/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nathan Law | 5562863 | 3 | 06/03/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shawn Christena Quam-Schulz | 2042238 | 1 | 01/07/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michele Wrabley | 6798411 | 1 | 12/07/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nathan Law | 5562863 | 3 | 09/21/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Beth Ann Bailen | 4014054 | 2 | 06/05/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nathan Law | 5562863 | 3 | 06/03/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Kim Bauer | 4747358 | 1 | 05/03/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Sherwin | 3242128 | 1 | 09/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |