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 |
|---|---|---|---|---|---|---|---|---|
| Michael Eugene Juilfs | 2849378 | 3 | 12/02/2002 | Customer Dispute | Settled | $10,178.00 | $0.00 | See FINRA Report |
| John Robert Raybould | 3111222 | 2 | 11/04/2002 | Customer Dispute | Settled | $98,000.00 | $0.00 | See FINRA Report |
| Daniel Renard Berglund | 2164698 | 2 | 08/21/2002 | Customer Dispute | Settled | $185,000.00 | $0.00 | See FINRA Report |
| Jean Ellen Kelley | 2270837 | 1 | 06/18/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott Lee Smith | 1219136 | 1 | 06/06/2002 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Robert J Adler | 1052077 | 1 | 05/23/2002 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |
| Steven Wayne La Porte | 3085305 | 2 | 03/21/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Gordon Kluve | 3136247 | 1 | 02/20/2002 | Customer Dispute | Settled | $62,057.00 | $0.00 | See FINRA Report |
| Dennis L Morin | 1609556 | 2 | 02/18/2002 | Customer Dispute | Settled | $13,772.20 | $0.00 | See FINRA Report |
| Daniel P Gannon | 2765607 | 1 | 10/16/2001 | Customer Dispute | Settled | $9,577.97 | $0.00 | See FINRA Report |