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 |
|---|---|---|---|---|---|---|---|---|
| Sean Michael Flynn | 1335032 | 2 | 03/04/2011 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Michael Anthony Embrescia | 2669484 | 2 | 02/15/2011 | Customer Dispute | Settled | $112,000.00 | $0.00 | See FINRA Report |
| Lisa Anne Noonan | 3140844 | 2 | 02/14/2011 | Customer Dispute | Settled | $6,500.00 | $0.00 | See FINRA Report |
| David Edward Ward | 2689539 | 1 | 12/13/2010 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Michael Angel Cano | 3021978 | 1 | 12/12/2010 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Jerome Henry Sullivan | 1569145 | 1 | 10/21/2010 | Customer Dispute | Settled | $14,354.20 | $0.00 | See FINRA Report |
| Jeffrey David Rockwell | 4541672 | 2 | 05/19/2010 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Klaudia Anna A Conradt | 2713581 | 1 | 05/07/2010 | Customer Dispute | Settled | $48,125.00 | $0.00 | See FINRA Report |
| Thomas Paul Sileo | 1310571 | 1 | 02/22/2010 | Customer Dispute | Settled | $2,600,000.00 | $0.00 | See FINRA Report |
| Nathan Robert Walters | 2137772 | 1 | 12/31/2009 | Customer Dispute | Settled | $818,521.00 | $0.00 | See FINRA Report |