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 Preston Tonkinson | 2178590 | 3 | 10/20/2008 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Troy Jean Aucoin | 4491926 | 3 | 10/14/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Lori Ann Williams | 3019916 | 2 | 10/07/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alan Testa | 4850901 | 2 | 09/04/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| William Ray Verhagen | 1603551 | 1 | 08/18/2008 | Customer Dispute | Settled | $21,493.00 | $0.00 | See FINRA Report |
| David William Powell | 1592462 | 1 | 07/15/2008 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Will Dietz | 4512303 | 1 | 04/07/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roger Dennis Wood | 472097 | 1 | 03/11/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Paul William Combs | 1807246 | 1 | 01/22/2008 | Customer Dispute | Settled | $68,643.00 | $0.00 | See FINRA Report |
| James Franklin Parker | 2268274 | 1 | 10/29/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |