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 |
|---|---|---|---|---|---|---|---|---|
| Patrick W Pirone | 1448190 | 3 | 09/17/2015 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Paul Vincent Ferrucci | 2256659 | 1 | 09/12/2015 | Customer Dispute | Denied | $125,000.00 | $0.00 | See FINRA Report |
| Matthew Landon Peoples | 4611863 | 1 | 09/02/2015 | Customer Dispute | Denied | $46,000.00 | $0.00 | See FINRA Report |
| Jennifer Lynn Langstaff | 2594127 | 3 | 08/20/2015 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| James Austin King | 2865236 | 7 | 08/15/2015 | Customer Dispute | Settled | $950,000.00 | $0.00 | See FINRA Report |
| Jaime Rheaume | 5297783 | 1 | 08/11/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Victor David Maldonado | 4310439 | 3 | 06/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tiffany M Holt | 4810131 | 1 | 06/05/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sheila Brand Stehlin | 4410030 | 2 | 06/01/2015 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Darryl Scott Guthrie | 4176276 | 2 | 05/15/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |