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 |
|---|---|---|---|---|---|---|---|---|
| Victor David Maldonado | 4310439 | 3 | 05/11/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Philip Swedrock | 6425544 | 1 | 02/25/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Emmett Tubridy Jr. | 4509256 | 3 | 11/27/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Lou Cousineau | 4896204 | 1 | 11/20/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Raymond Bauer | 1939908 | 1 | 09/04/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lisa Suzanne Cannon | 5295766 | 2 | 07/31/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Camille Margaret Smith | 5403550 | 1 | 07/14/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Valerie Beth McClendon | 7485326 | 1 | 06/24/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Sergeant Puckett | 5537522 | 1 | 04/06/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Daniel Kutzke | 5053069 | 1 | 03/24/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |