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 |
|---|---|---|---|---|---|---|---|---|
| John Howley Whalen | 1900188 | 2 | 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 | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Matthew Wayne Siegel | 4247247 | 1 | 12/20/2021 | Customer Dispute | Denied | $240,000.00 | $0.00 | See FINRA Report |
| Kevin Michael Dick | 2928617 | 1 | 10/29/2021 | Customer Dispute | Denied | $62,569.00 | $0.00 | See FINRA Report |
| Angelica Maria Lopez | 4932635 | 1 | 10/05/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Douglas Freeman | 4399338 | 1 | 09/10/2021 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Kevin Joseph Lingenfelser | 5195286 | 1 | 08/19/2021 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Charles Keith Kiker | 2402823 | 1 | 07/08/2021 | Customer Dispute | Pending | $4,352,800.00 | $0.00 | See FINRA Report |
| Jeffrey Scott Blaser | 2162901 | 2 | 06/07/2021 | Customer Dispute | Denied | $3,000,000.00 | $0.00 | See FINRA Report |
| Nathan Law | 5562863 | 3 | 06/03/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |