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 |
|---|---|---|---|---|---|---|---|---|
| Geoffrey D McCarthy | 4617462 | 1 | 03/31/2009 | Customer Dispute | Settled | $12,149.10 | $0.00 | See FINRA Report |
| Michael John Westerman | 2543980 | 1 | 02/11/2009 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Stevan A Rexroad | 1984707 | 1 | 01/29/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roger Lynn Merrill | 803094 | 1 | 01/22/2009 | Customer Dispute | Settled | $4,348,370.00 | $0.00 | See FINRA Report |
| Neal Jeffrey Martin | 1221285 | 1 | 01/05/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Robert Steele | 2066976 | 1 | 12/15/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Raymond James Krusic | 2084930 | 1 | 12/10/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sean George Brown | 1965352 | 2 | 11/12/2008 | Customer Dispute | Settled | $42,213.90 | $0.00 | See FINRA Report |
| Robert Nicholas Zerah | 2209431 | 2 | 11/07/2008 | Customer Dispute | Settled | $5,740.00 | $0.00 | See FINRA Report |
| Sean George Brown | 1965352 | 2 | 11/04/2008 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |