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 |
|---|---|---|---|---|---|---|---|---|
| John Howley Whalen | 1900188 | 3 | 09/04/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Sean Michael Flynn | 1335032 | 2 | 06/03/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Louis Hebert | 4659328 | 1 | 05/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Brian Michael McCormick | 4217300 | 1 | 04/08/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| James D Neel | 3163614 | 1 | 04/04/2024 | Customer Dispute | Pending | $60,000.00 | $0.00 | See FINRA Report |
| Jeffrey D Hejza | 5083584 | 1 | 03/26/2024 | Customer Dispute | Pending | $5,000,000.00 | $0.00 | See FINRA Report |
| Richard Jay Rustic | 1128406 | 2 | 02/23/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Eric Eugene Elek | 3062911 | 1 | 10/30/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Marianna Goldenberg | 2165876 | 2 | 10/24/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Richard Jay Rustic | 1128406 | 2 | 08/13/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |