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 David Sullum | 4320124 | 1 | 04/05/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Howley Whalen | 1900188 | 3 | 03/01/2022 | Customer Dispute | Settled | $1,117,600.00 | $0.00 | See FINRA Report |
| Edward Jonathan Sokolowski | 2221001 | 2 | 01/26/2022 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Adam Gregory Provance | 5555564 | 1 | 05/28/2021 | Customer Dispute | Settled | $36,000.00 | $0.00 | See FINRA Report |
| Daniel Wyson | 4021197 | 2 | 02/23/2021 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Gregory Alan Jacobson | 2635798 | 2 | 11/17/2020 | Customer Dispute | Settled | $32,000.00 | $0.00 | See FINRA Report |
| Christopher Michael Murray | 2037323 | 2 | 09/28/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Lewis Williams | 468074 | 2 | 09/08/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| David Yukio Omura | 1462902 | 1 | 08/13/2020 | Customer Dispute | Settled | $72,927.00 | $0.00 | See FINRA Report |
| Roberta Louise Nestor | 1262376 | 1 | 08/07/2020 | Customer Dispute | Settled | $895,000.00 | $0.00 | See FINRA Report |