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 |
|---|---|---|---|---|---|---|---|---|
| Robert Emmett Tubridy Jr | 4509256 | 2 | 08/12/2004 | Customer Dispute | Settled | $12,700.00 | $0.00 | See FINRA Report |
| Daniel Earl Cook | 2202360 | 1 | 06/25/2004 | Customer Dispute | Settled | $7,000.00 | $0.00 | See FINRA Report |
| Thomas Savone | 1435179 | 2 | 05/18/2004 | Customer Dispute | Settled | $6,661.17 | $0.00 | See FINRA Report |
| Christopher James Goetz | 2585194 | 1 | 05/07/2004 | Customer Dispute | Settled | $71,089.70 | $0.00 | See FINRA Report |
| John Edward Potter | 2550060 | 2 | 05/07/2004 | Customer Dispute | Settled | $13,979.60 | $0.00 | See FINRA Report |
| Patrick Joseph Obrien | 2150929 | 2 | 04/14/2004 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Patrick Haught Long | 2643443 | 1 | 04/01/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Robert Novotny | 2261272 | 1 | 01/12/2004 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Barbara Ann Budny | 1716265 | 2 | 01/06/2004 | Customer Dispute | Settled | $153,000.00 | $0.00 | See FINRA Report |
| Louis M Rusinowitz | 2813827 | 1 | 12/22/2003 | Customer Dispute | Settled | $1,100,000.00 | $0.00 | See FINRA Report |