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 |
|---|---|---|---|---|---|---|---|---|
| Darryl Scott Guthrie | 4176276 | 2 | 05/15/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Victor David Maldonado | 4310439 | 3 | 05/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Victor David Maldonado | 4310439 | 3 | 05/11/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Malcolm David Walker | 2865657 | 2 | 05/07/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas John Bartholomew | 704349 | 1 | 04/15/2015 | Customer Dispute | Denied | $5,600.00 | $0.00 | See FINRA Report |
| Ryan Maughan Fleming | 2717583 | 1 | 04/02/2015 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Steven Mark Seide | 1447414 | 1 | 01/26/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Embrescia | 2669484 | 2 | 01/07/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kyle Robert Tatro | 5030017 | 2 | 12/15/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Shannon Marie Sutherland | 3206242 | 1 | 11/28/2014 | Customer Dispute | Denied | $38,190.10 | $0.00 | See FINRA Report |