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 |
|---|---|---|---|---|---|---|---|---|
| David Arthur Dickson | 2305473 | 2 | 10/11/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher James Hackley | 1977760 | 2 | 09/28/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kyle Robert Tatro | 5030017 | 2 | 08/16/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Heidi Lydia Hanson | 2888615 | 1 | 08/03/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Adam R Horde | 5977455 | 1 | 08/02/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shaun Walton | 7605645 | 1 | 07/29/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Peck | 6267699 | 1 | 07/11/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Austin King | 2865236 | 7 | 05/18/2017 | Customer Dispute | Award / Judgment | $470,000.00 | $129,133.00 | See FINRA Report |
| James Austin King | 2865236 | 7 | 05/16/2017 | Customer Dispute | Award / Judgment | $640,000.00 | $550,000.00 | See FINRA Report |
| James Austin King | 2865236 | 7 | 05/16/2017 | Customer Dispute | Award / Judgment | $600,000.00 | $127,925.00 | See FINRA Report |